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Author: Jon Hurd

1 Dec 2020

SEC Risk Alert – Investment Adviser Compliance Programs

Jon Hurd

On November 19, 2020, the  Securities...

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16 Nov 2020

SEC Risk Alert – Supervision, Compliance and Multiple Branch Offices

Jon Hurd

On November 9, 2020, the Securities...

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9 Oct 2019

‘Tis the Season for an AML Inspection

Jon HurdAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, Broker dealer compliance services, Broker dealer risk assessment, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance, Investment banking regulatory compliance

      As Summer has...

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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...

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21 Dec 2018

2019 SEC Examination Priorities

Jon Hurd

      The Office of...

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17 Dec 2018

SEC Risk Alert: Electronic Communications

Jon Hurd

    Overview On Friday December...

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15 Oct 2018

SEC Charges Firm with Cyber and Identity Theft Prevention Failures

Jon Hurd

      The Securities and...

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14 Oct 2018

SEC Staff Issues Guidance on Third-Party Record keeping Services

Jon Hurd

      Overview Earlier today...

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9 Oct 2018

Digital Assets

Jon Hurd

      On Friday July...

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8 Oct 2018

Web CRD Enhancements and Changes Pursuant to the 2018 FINRA Conference

Jon Hurd

      At the 2018...

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7 Oct 2018

Enhancements to FINRA’s Disclosure Review Process Relating to Public Records

Jon Hurd

      A few years...

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5 Oct 2018

Revised Form ADV effective October 1, 2017

Jon Hurd

      Overview The SEC...

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4 Oct 2018

CYBERSECURITY: Ransomware Alert

Jon Hurd

      Overview The SEC...

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3 Oct 2018

New FINRA Rule 3210 – Accounts at Other Broker-Dealers and Financial Institutions

Jon Hurd

      Rule Overview On...

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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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