Ascendant Announces Addition of New Partner, Brian Kawakami

SALISBURY, Conn., Feb. 6, 2012 /PRNewswire/ -- Ascendant is pleased to announce that Brian Kawakami has been named its newest partner in the firm. Brian joined Ascendant in 2009 as Managing Director of the New York office. He had previously held compliance and legal positions, including serving as Chief Compliance Officer of Lazard Asset Management, INVESCO Institutional and Aeltus Investment Management (now ING Investments), and as General Counsel to a mutual fund company. A seasoned professional with experience in implementing effective compliance programs and solutions, Brian assists clients in implementing compliance solutions that are effective, cost efficient and aligned with regulatory expectations and business needs and realities. He consults on compliance risk evaluations and the implementation of risk management methodologies, prepares clients for regulatory examinations and due diligence meetings, assists clients in establishing compliance programs to comply with Rules 38a-1, 206(4)-7, 3012 and 3130, provides guidance in drafting compliance policies and manuals, designs continuing education training programs, and assists clients in their investigation and resolution of alleged violations. Brian is a frequent speaker on compliance matters at industry conferences, including the SEC's CCOutreach National Seminar. Brian is a FINRA arbitrator and member of the New York and Connecticut Bars. He earned his BA in Economics from Whitman College, MIM from the American Graduate School of International Management (Thunderbird) and JD from New York Law School. 

Ascendant President and CEO, Jon Higgins says, "We are thrilled to welcome Brian to our management team. He brings a depth of experience and expertise that benefits our clients tremendously; it is definitely a win-win for all parties."

Brian will also be a featured speaker at Ascendant's Compliance Conference "Today's Compliance Challenges: New Regulations plus Enterprise Risk Management Responsibilities" to be held at the Westin Riverwalk San Antonio, March 5 – 7, 2012.  Mr. Kawakami will be joined by industry experts such as Carlo di Florio (Director, OCIE, SEC), Kevin Goodman (Associate Regional Director, SEC), Steven Lentz (Partner, Faegre Benson), David Lui (CCO & Principal, Galliard Capital Management), Keith Marks (Partner, Ascendant Compliance), Ann Oglanian (President & CEO, ReGroup, LLC), Marianne Smythe, and John Walsh (Former Associate Director/ Chief Counsel, OCIE, SEC)among others.

The conference will consist of a comprehensive dialogue of the compliance obligations of registered investment advisers.  The implementation of Dodd-Frank, the SEC's additional rule-making response to financial fraud, and the focus on enterprise risk management(ERM)present investment managers with more and greater challenges each day- Ascendant and industry experts come together to help firms find the most effective resources to cultivate a culture of compliance.  Ascendant conferences offer the most up-to-date guidance and real-time access to the top regulatory authorities as well as compliance solutions that can be implemented in day-to-day operations.

About Ascendant:

Ascendant Compliance Management is located in Salisbury, CT, with offices in New York City and San Francisco, CA.  Ascendant offers integrated compliance and business solutions for investment advisers, broker dealers, and hedge and private equity funds and provides educational conferences and online training.  For more information on Ascendant's services, or to sign up for email alerts such as this, please visit their website at www.ascendantcompliance.com or call 860-435-2255.

About Ascendant Conferences + Education:

Ascendant Compliance Management's Conferences + Education team is dedicated to the advancement of compliance professionals in the investment management industry.   The interactive approach follows all of the latest trends in SEC examinations (including the possibility of an SRO), risk assessments, insider trading, social media networks, compliance automation, ethics and fiduciary duty among other topics. The goal of the program is to equip compliance professionals with the necessary tools for developing and maintaining the highest standards of business practice management.  To view the conference agenda, speaker list and travel information please visit www.ascendantcompliance.com.

SOURCE Ascendant Compliance Management

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