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Tag: Broker Dealer Compliance

18 Aug 2020

Virtual Business Entertainment

Abbey MirelliBroker Dealer Compliance, FINRA compliance consultants, FINRA Compliance Training, Investment Banking Compliance

FINRA Rule 3220 sets strict limits...

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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

Increase in Electronic Communication Disciplinary Actions

Jenna BeekmanBroker Dealer Compliance, Broker dealer compliance consulting firms, Broker dealer compliance services, FINRA compliance consultants, FINRA Compliance Training

COVID-19 has impacted the world’s operations...

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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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22 Jul 2020

Cybersecurity: Ransomware Alert

Abbey MirelliAnti-money laundering test, Broker Dealer Compliance, Broker dealer compliance checklist, Broker dealer compliance consulting firms, Broker Dealer Compliance Requirements, FINRA compliance consultants, Outsourced compliance officer

The U.S Securities and Exchange Commission...

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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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6 Nov 2019

2019 Report on FINRA Examination Findings and Observations

Jenna BeekmanAnti-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

In efforts to become more transparent...

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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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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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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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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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All right reserved 2018

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