Broker-Dealer Compliance Services

Asgard offers a wide range of broker-dealer compliance services on a flat rate or per hour basis. Our customizable compliance solutions will help you meet your regulatory requirements. You choose the services that you wish to outsource, and we will customize your compliance program and offer solutions that meet the needs of your firm. We have experienced staff available to be your resource for any question or issue you may have.

Chief Compliance Officer services

Anti-Money Laundering Independent Testing

Branch Office Inspections

Supervisory Control Testing

New Member Applications

Continuing Member Applications

Materiality Consultation

Policies and Procedures

Business Continuity Plans and Testing       

Continuing Education Program

Registration and Licensing

FINRA Regulatory Filings

Disclosures and Certifications

Outside Business Activity Tracking and Reporting

Personal Trading Reviews

Liaison with Regulators

Mock Audits

Gap Analysis

Research Reports and Disclaimer Reviews

Advertising and Marketing Filings

Blue Sky Filings


Advice and Support

Rule Analysis