Skip to content
(631) 801-2900inquire@asgardcompliance.com
LinkedIn
Asgard Regulatory Group, LLC
  • HOME
  • ABOUT US
    • Firm Profile
    • Our Team
    • Strategic Partners
  • SERVICES
    • Broker-Dealer Compliance Services
    • Investment Adviser
    • FINOP Services
  • BLOG

Day: September 5, 2019

5 Sep 2019

SEC Risk Alert – Investment Adviser Principal and Agency Cross Trading Compliance Issues

Jon HurdAdvisers Act, Compliance, Investment Adviser, OCIE, SEC, SEC Risk Alert

      Overview On September...

Read More

Our Team

  • Jonathan Hurd, CAMS
  • Eden Turner, CAMS
  • Olivia Scuteri
  • Jenna Beekman
  • Sean Reddy
  • Abbey Mirelli

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

Contact Us:

(631) 801-2900

Email Us:

Email: inquire@asgardcompliance.com

LinkedIn

© ASGARD REGULATORY GROUP, LLC.
All right reserved 2018

Close