Asgard Regulatory Group, LLC

@asgardcompliance

Holbrook, New York

http://www.asgardcompliance.com

Financial Services

Overview

About Asgard Regulatory Group, LLC

Asgard Regulatory Group LLC (“Asgard”) specializes in providing regulatory compliance and business advisory services and audit and special project work to broker-dealers, investment advisers, and hedge funds to ensure they meet their obligations under SEC, FINRA, MSRB and other governmental rules and regulations. Please visit our website at www.asgardcompliance.com or contact us at 631-801-2900.

Headquarters

Holbrook, New York

Website

http://www.asgardcompliance.com

Company Size

11-50 employees

Industry

Financial Services

Company Type

Privately Held

Founded

2008

Specialties

Compliance Services, Mock FINRA and SEC Audits, FINRA New Membership and Continuing Membership Applications (NASD Rule 1017), Supervisory Control Testing (Rule 3120), AML Independent Inspections, RIA Compliance Services, Cybersecurity, Broker Dealer Compliance, Regulation BI, Risk Assessments, Advisory Services , Consulting, FINRA Compliance, SEC Compliance , Special Projects, Regulatory Assistance, Problem Solving, Business Advisory Services, Special Situations, and Training and Education