BROKER-DEALER COMPLIANCE SERVICES

Asgard is comprised of a team of dedicated and highly skilled regulatory compliance and risk management professionals, specializing in the creation, implementation, and enforcement of robust broker-dealer compliance programs. Our experts provide proactive, tailored support services to your firm, offering varying levels of ongoing, continuous assistance that can be customized to meet your unique needs. This flexibility ensures seamless transitions between programs as required.

CHIEF COMPLIANCE OFFICER SERVICES
BRANCH OFFICE INSPECTIONS
15a-6 COMPLIANCE SERVICES
POLICIES AND PROCEDURES
CONTINUING EDUCATION PROGRAMS
REGISTRATION AND LICENSING
FORM CRS PREPARATION
FINRA REGULATORY FILINGS
DISCLOSURES AND CERTIFICATIONS
OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING
PERSONAL TRADING REVIEWS
ASSISTANCE WITH REGULATORS
RESEARCH REPORTS AND DISCLAIMER REVIEWS
ADVISE AND SUPPORT
RULE ANALYSIS
ANNUAL COMPLIANCE MEETINGS
TRAINING AND EDUCATION