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

Author: Eden Turner

3 Feb 2021

BROKER/DEALER COMPLIANCE OFFICERS FACE SURGING PERSONAL LIABILITY RISKS

Eden TurnerBroker-Dealer

Since the start of the pandemic,...

Read More
28 Jan 2020

Regulation Best Interest

Eden Turner

Read our Regulatory Brief on Regulation...

Read More
18 Apr 2019

Regulation S-P: Risk Alert

Eden Turner

      The Office of...

Read More
11 Oct 2018

Qualification and Registration Examinations

Eden Turner

      Examination Restructuring Effective...

Read More
6 Oct 2018

2018 SEC Examination Priorities

Eden Turner

      On Wednesday, February...

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