Our Services

Custom compliance programs that specifically meet the individual needs of your business.

WHAT WE DO

Asgard begins each engagement by interviewing your management team to develop a list of regulatory requirements specific to your Firm. We then collaborate with management to plan and execute strategies to achieve ongoing compliance. Our team will work for you, and with you, to achieve compliance with the rules and regulations of FINRA, SEC and other governmental regulatory bodies.

BROKER-DEALER COMPLIANCE SERVICES

ARG is staffed with a team of dedicated and hard-working regulatory compliance and risk management professionals that specialize in establishing, maintaining and enforcing highly effective broker-dealer compliance programs.

Our dedicated compliance and risk management professionals deliver proactive, customized support services to your firm.  Our compliance and risk management support services provide various levels of ongoing, continuous support based on your individual needs and allows for flexibility to navigate between programs at any time.

  • PERSONAL TRADING REVIEWS

  • OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING

  • DISCLOSURES AND CERTIFICATIONS

  • ASSIST WITH THE REVIEW OF RESEARCH REPORTS AND DISCLAIMERS

  • ADVISE AND SUPPORT COMPLIANCE STAFF

  • RULE ANALYSIS

INVESTMENT ADVISORY SERVICES

ARG works with several Advisory Firms and our analysts are well versed in SEC regulations and compliance processes. If you are looking for help submitting filings, such as 13Fs, amending Form ADV, conducting Investment Committee Meetings or deploying Quarterly Attestations, we can help you achieve these daily, quarterly, and annual objectives.

  • CHIEF COMPLIANCE OFFICER SERVICES

  • POLICIES AND PROCEDURES »

  • REGULATION BEST INTEREST

  • FORM CRS PREPARATION

  • COMPLIANCE AND BROKERAGE COMMITTEE MEETINGS

  • COMPLIANCE CALENDAR

  • PERSONAL TRADING REVIEWS

  • BEST EXECUTION ANALYSIS

  • DISCLOSURES AND CERTIFICATIONS

  • ASSIST WITH SEC INQUIRIES

  • INVESTMENT ADVISOR REGISTRATIONS

  • TRADE REVIEW

  • ANNUAL COMPLIANCE MEETINGS

  • TRAINING AND EDUCATION

  • OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING

  • SEC FILINGS

  • CODE OF ETHICS »

PROJECT & AUDIT SERVICES

In addition to providing ongoing compliance solutions to a wide array of financial services firms, ARG also offers a multitude of options related to firm-specific audit needs. Our staff has worked with many firms to ensure all audit requirements are met. We believe our staff has the knowledge and experience to successfully execute project work that will undoubtedly help the firm identify risks and gaps.

Audit and Project-related work include but is not limited to:

  • ANTI-MONEY LAUNDERING INDEPENDENT TESTING (FINRA RULE 3310)

  • SUPERVISORY CONTROL REVIEW TESTING (FINRA RULE 3120)

  • RIA ANNUAL REVIEW (RULE 206(4)-7)

  • MOCK SEC AUDIT

  • BRANCH OFFICE INSPECTIONS

  • FINRA NEW MEMBERSHIP APP (FORM NMA)

  • FINRA CONTINUING MEMBERSHIP APP

  • FINRA MATERIALITY CONSULTATIONS

  • CYBER SECURITY PLAN DEVELOPMENT

    AND TESTING

  • INFORMATION SECURITY PLAN DEVELOPMENT AND TESTING

  • BUSINESS CONTINUITY PLAN DEVELOPMENT AND TESTING

  • STATE REGULATORY FILINGS

  • RISK ASSESSMENT

  • GAP ANALYSIS

Cyber Security Inspections

ARG offers cyber security inspections to ensure your cyber security program is equipped to handle the imminent cyber threats that exist today. Although cyber security inspections are not yet required by the SEC nor FINRA, ARG believes that a strong cyber foundation is key to safeguarding customer and company confidential information. ARG will review your Information Security Plan, Written Supervisory Procedures, Third Party Vendor Contracts and training and educational plans to make certain there are no gaps in your program. ARG will also conduct interviews and prompt discussions to understand your day-to-day cyber threats. 

By reviewing policies and procedures and training plans and discussions with management, ARG will:

  • UNDERSTAND VULNERABILITIES

  • IDENTIFY GAPS

  • MITIGATE RISKS

  • OFFER CONSTRUCTIVE SOLUTIONS

Our Process

1.

Once engaged, develop a strategic plan with senior management.

2.

Develop a compliance program implementation plan.

3.

Continuous and ongoing communication to ensure all milestones are completed.