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Asgard Regulatory Group, LLC
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Author: Sean Reddy

9 Sep 2020

FINRA Disciplinary Action: August 2020

Sean ReddyAugust, Compliance, FINRA compliance consultants, FINRA Disciplinary Actions, Regulatory Brief

Firms Fined Exane, Inc. Exane, Inc....

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1 Sep 2020

SEC Expands Accredited Investor Definition

Sean Reddyaccredited investor, Anti-money laundering test, Private Equities, SEC, SEC Risk Alert

The Securities and Exchange Commission (“SEC”)...

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7 Aug 2020

SEC Charges South Florida Spouses with $500M Scam

Sean ReddyAML, Anti Money Laundering, Broker Dealer Compliance, Broker dealer compliance consultants, Compliance, FINRA compliance consultants, Funding, SEC

The Securities and Exchange Commission (SEC)...

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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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Our Team

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

Asgard Regulatory Group, LLC.

3900 Veterans Memorial Highway
Suite 360, Bohemia, NY 11716

Contact Us:

(631) 801-2900
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Email: inquire@asgardcompliance.com

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All right reserved 2018

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