Our Services

Custom compliance programs that specifically meet the individual needs of your business.

BROKER-DEALER COMPLIANCE SERVICES

ARG is staffed with a team of dedicated and hard-working regulatory compliance and risk management professionals that specialize in establishing, maintaining and enforcing highly effective broker-dealer compliance programs.

Our dedicated compliance and risk management professionals deliver proactive, customized support services to your firm.  Our compliance and risk management support services provide various levels of ongoing, continuous support based on your individual needs and allows for flexibility to navigate between programs at any time.

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  • FORM CRS PREPARATION

  • 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 FILING

  • BLUE SKY FILINGS

  • CYBERSECURITY

  • ADVISE AND SUPPORT

  • RULE ANALYSIS

INVESTMENT ADVISORY SERVICES

ARG works with several Advisory Firms and our analysts are well versed in SEC regulations and compliance processes. If you are looking for help submitting filings, such as 13Fs, amending Form ADV, conducting Investment Committee Meetings or deploying Quarterly Attestations, we can help you achieve these daily, quarterly, and annual objectives.

  • CHIEF COMPLIANCE OFFICER SERVICES

  • ANTI-MONEY LAUNDERING INDEPENDENT TESTING »

  • POLICIES AND PROCEDURES »

  • REGULATION BEST INTEREST

  • FORM CRS PREPARATION

  • MOCK SEC EXAMINATIONS

  • COMPLIANCE AND BROKERAGE COMMITTEE MEETINGS

  • RISK ASSESSMENTS

  • INFORMATION SECURITY PLAN DEVELOPMENT AND TESTING

  • COMPLIANCE CALENDAR

  • PERSONAL TRADING REVIEWS

  • GAP ANALYSIS

  • BLUE SKY FILING

  • BEST EXECUTION ANALYSIS

  • INVESTMENT ADVISOR REGISTRATIONS

  • ANNUAL COMPLIANCE ASSESSMENT »

  • CODE OF ETHICS »

  • DISCLOSURE AND CERTIFICATIONS

  • LIAISON WITH REGULATORS

  • RISK ASSESSMENT

  • TRADE REVIEW

  • REGULATORY RESPONSES

  • ANNUAL COMPLIANCE MEETINGS

  • MARKETING MATERIALS

  • TRAINING AND EDUCATION

  • OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING

  • MOCK AND AUDITS

  • SEC FILINGS

  • CYBERSECURITY

  • COMMITTEE MEETINGS

FINANCIAL AND OPERATIONS PRINCIPAL (FINOP)

ARG provides an outsourced solution tailored to the needs of broker-dealers. Every broker-dealer is required to maintain the services of a FINRA Series 27 FINOP or a FINRA Series 28 Introducing Broker-Dealer Financial Operations Principal. A FINOP oversees the books and records and monitors a FINRA member firm’s adherence to industry net capital rules and applicable laws, as well as the filing of all financial regulatory reports.

Regulation allows for an appropriately registered Series 27/28 to perform the FINOP role.  Outsourcing the FINOP role provides a FINRA member firm with many benefits. Hiring an experienced FINOP Consultant rather than employing a full-time employee allows a Firm to having top-level talent at the fraction of the cost of keeping the role in-house.  ARG can assume the FINOP responsibilities of your broker-dealer or assist your in-house FINOP in performing financial duties including FINRA/SEC/SIPC regulatory filings.  ARG in many circumstances can also assume the role of Chief Financial Officer.

OFFICER (PFO) AND PRINCIPAL OPERATIONS OFFICER (POO)

All FINRA Member firms are required to designate a PFO and POO. ARG will assign a qualified series 27/28 licensed individual to be designated as your firm’s PFO and/or POO with primary responsibility of oversight of the  day-to-day operations of your broker-dealer business.  This includes the supervision of assigned personnel, overseeing of the receipt and delivery of securities and funds, safeguarding customer and firm assets, calculation and collection of margin from customers and processing dividend receivables and payables and reorganization redemptions and those books and records related to such activities.

  • FOCUS

  • FORM OBS

  • NET CAPITAL COMPUTATION

  • SSOI

  • FORM SIS

  • FINANCIAL STATEMENT PREPARATION

  • FORM CUSTODY

  • SIPC

  • SCHEDULE I