About
Asgard Regulatory Group is a compliance consulting firm focused on broker-dealer and financial services regulatory requirements. The firm conducts interviews with management to identify applicable obligations and partners with clients to develop and implement compliance program implementation plans. Asgard supports firms subject to FINRA and SEC oversight, offering assistance with regulatory filings such as Form 13F submissions and Form ADV amendments, investment committee meetings, quarterly attestations, and both ongoing compliance programs and firm-specific audit and project-based needs. Services are delivered by regulatory compliance and risk management professionals who provide continuous, tailored support to broker-dealers, registered investment advisers, and private equity firms.
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