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

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

Asgard regulatory group, llc operates in the Financial services industry.

Asgard regulatory group, llc's revenue is 11m - 100m

Asgard regulatory group, llc has 11 - 50 employees.