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Day: July 22, 2020

22 Jul 2020

Increase in Electronic Communication Disciplinary Actions

Jenna BeekmanBroker Dealer Compliance, Broker dealer compliance consulting firms, Broker dealer compliance services, FINRA compliance consultants, FINRA Compliance Training

COVID-19 has impacted the world’s operations...

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22 Jul 2020

SEC Charges App Developers for Unregistered Security-Based Swap Transactions

Sean ReddyAdvisers Act, Anti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, FINRA compliance consultants, FINRA Compliance Training

Abra, a California-based trading app, and...

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22 Jul 2020

Cybersecurity: Ransomware Alert

Abbey MirelliAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, FINRA compliance consultants, Outsourced compliance officer

The U.S Securities and Exchange Commission...

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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

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