Ascendant Compliance Manager

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The Ascendant Compliance Manager is a comprehensive tool to manage and analyze compliance and operational risks to a firm and to stay up to date on regulatory requirements and compliance alerts. The Ascendant Compliance Manager offers the busy compliance professional a centralized place to find compliance resources, risk inventories and matrices, to manage risk within their firm and to develop reporting and task management directly within the tool.

* Risk Manager: Create risk assessments, maintain risk inventories and manage risk holistically within the firm.

* Alerts Manager: Stay up to date on regulatory requirements, updates and compliance guidance from Ascendant Compliance.

* Trade Blotter Manager: Simplify and verify Trade Blotter data and analysis, and meet regulatory requirements.

* Policy Manager: Maintain Compliance Policies & Procedures as a working document for maintaining accuracy and alignment with practices. Adopt and maintain current and archived manuals for Books & Records Compliance.

* Annual Review Manager: Fulfill your Annual Review 206(4)-7 requirement based upon aggregated, automated workflow and testing.

* Library Manager: Aggregate and maintain new rule releases, regulatory and Ascendant Alerts, no-action letters, law firm briefs, whitepapers and multimedia resources.