Ascendant Compliance Manager (ACM) is a robust and comprehensive application designed to assist compliance professionals to better manage compliance functions. ACM fulfills Rule 206(4)-7 requirements for IAs, Rule 38a-1 workflow processes for IC’s, and is fully developed for broker-dealer compliance program implementation. The unique tool also provides workflow, calendaring and encrypted messaging. ACM identifies, manages and analyzes regulatory responsibilities as well as compliance, operational and IT risks.
ACM is a centralized portal to access compliance resources and stay apprised of regulatory developments, maintain a data warehouse of risk inventories, maintain compliance policies and compliance program monitoring records, track a compliance calendar, manage tasks, and master compliance workflow and risk management.
For those tracking the regulatory Big Data scene for IAs/ICs/BDs, ACM also includes a Trade Blotter Manager for testing and analysis of every transaction by each financial firm. ACM’s Trade Blotter Manager analyzes trading data to assist with identifying trading anomalies and assessing trade execution similar to the way that the SEC analyzes data with the National Examination Analytics Tool (NEAT).
Distribute timely, targeted information, communications, and Alerts throughout your organization.
Manage existing risks, identify new risks, categorize, weigh impact and likelihood, and map controls to related policies and testing to manage and mitigate exposure.
Maintain and distribute a comprehensive library of policies and procedures (drafts, approvals, and revisions) integrated with risks, testing, and the Annual Review.
Efficiently manage the distribution of new policies and regulatory information.
Fulfill your Annual Review 206(4)-7 requirement based upon aggregated, automated workflow and testing.
Aggregate and maintain information. Share and collaborate with your team seamlessly.
Simplify and verify Trade Blotter data and analysis, and meet regulatory requirements.
Ascendant Compliance Management, with offices in Connecticut, New York and San Francisco, was founded in 2006 by the leaders and founders of successful compliance consulting companies and the nonprofit National Society for Compliance Professionals.
Our experienced team shares a philosophy and commitment to innovation, to the highest quality client service and to educational training and technological solutions for investment managers, broker dealers, hedge and private equity funds worldwide.
Ascendant offers innovative compliance consulting: we are solution providers who bring our clients customized compliance and operational solutions that allow them to focus on growing their businesses. We provide defined outcomes and support services tailored to what each client needs. Leveraging from the thousands of firms we have visited and serviced over the years, we prepare best practice procedures that will help preserve your hard-won reputation.
Ascendant Compliance Management can help your business put compliance into perspective by guiding you through the regulations. By ensuring that senior management understands compliance controls arrangements, we aim to ensure that good compliance becomes an integral part of the way your firm conducts business. Our philosophy is straightforward: compliance should not be difficult. By removing the complexities and addressing misapprehensions, we aim to make compliance a source of strength for our clients.