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Tag: Investment Adviser

5 Sep 2019

SEC Risk Alert – Investment Adviser Principal and Agency Cross Trading Compliance Issues

Jon HurdAdvisers Act, Compliance, Investment Adviser, OCIE, SEC, SEC Risk Alert

      Overview On September...

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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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