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Author: Olivia Scuteri

18 Sep 2020

SEC Warns of Rise in ‘Credential Stuffing’ Cyberattacks

Olivia Scuteri

The SEC’s Office of Compliance Inspections...

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24 Jun 2020

ThinkAdvisor Article: “CCO Hit by FINRA for Business Email Infractions”

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker dealer compliance services, Broker Dealer Continuing Education, FINRA compliance consultants

ThinkAdvisor published an article on June...

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7 May 2020

April 2020 FINRA Disciplinary Actions

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, Broker dealer compliance services, FINRA compliance consultants, Investment Banking Compliance

FINRA disciplinary actions taken against firms...

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21 Jan 2020

December 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-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, Money laundering test, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

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2 Jan 2020

November 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-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, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

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7 Nov 2019

October 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-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, Outsourced compliance officer

      FINRA disciplinary actions...

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15 Oct 2019

Cybersecurity Alert: Cloud-Based Email Account Takeovers (Information Notice 10.2.19)

Olivia ScuteriAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance consultants, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, FINRA compliance consultants, Investment Banking Compliance, Investment banking regulatory compliance, Outsourced compliance officer

Cybersecurity has become a continuous concern...

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3 Oct 2019

September 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-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, Outsourced compliance officer

      FINRA disciplinary actions...

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20 Sep 2019

August 2019 FINRA Disciplinary Actions

Olivia ScuteriAnti-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, Money laundering test, Outsourced compliance officer

FINRA disciplinary actions taken against firms...

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23 Aug 2019

July 2019 FINRA Disciplinary Actions

Olivia ScuteriBroker Dealer Compliance, Broker Dealer Compliance Requirements, Broker Dealer Continuing Education, FINRA Compliance Training, FINRA Disciplinary Actions, FINRA U4, FINRA U5, Investment Banking Compliance

      The following disciplinary...

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22 Jul 2019

June 2019 FINRA Disciplinary Actions

Olivia Scuteri

  The following disciplinary actions were...

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6 Jun 2019

May 2019 Disciplinary Actions

Olivia Scuteri

      The following disciplinary...

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6 May 2019

April 2019 FINRA Disciplinary Actions

Olivia Scuteri

      Firms Suspended CSSC...

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18 Apr 2019

SEC Approves Electronic Signatures for Discretionary Accounts

Olivia Scuteri

      Beginning May 6,...

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9 Apr 2019

March 2019 FINRA Disciplinary Actions

Olivia Scuteri

      The following disciplinary...

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8 Mar 2019

February 2019 FINRA Disciplinary Actions

Olivia Scuteri

      The following disciplinary...

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8 Feb 2019

January 2019 Disciplinary Actions

Olivia Scuteri

      The following disciplinary...

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3 Jan 2019

December 2018 Disciplinary Actions

Olivia Scuteri

      Firms Fined Ascensus...

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30 Nov 2018

November 2018 Disciplinary Actions

Olivia Scuteri

    The following disciplinary actions...

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5 Nov 2018

October 2018 Disciplinary Actions

Olivia Scuteri

      The following disciplinary...

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Our Team

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

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

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(631) 801-2900

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Email: inquire@asgardcompliance.com

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