Broker-dealer services at asgard regulatory compliance

Broker-dealer services at asgard regulatory compliance leader within the regulatory compliance

Our Strength

Asgard is really a leader within the regulatory compliance advisory and talking to services industry. Our strength is supplying our clients with expert, reliable, efficient and price-effective priced services. Our customized programs and services are made so you may work with an Asgard Consultant to structure a compliance program that’s appropriate is bigger and requires of the firm. Each program provides your firm with whether fixed quantity of talking to hrs or services that may be bundled together, in a convenient, flat rate per month. It’s your choice.

FINOP and Accounting Services

Residing in compliance using the broker-dealer needs of the lender is extremely important. Asgard provides outsourcing of FINOP services. We’ve the licensing and experience you need to fulfill the FINOP needs. We’ve relationships with leading accounting professionals with vast accounting and books and records understanding. Services Provided include Registering as the Financial and processes Principal (Series 27), Monthly accounting services, Internet Capital Computations, Monthly or Quarterly FOCUS and Statement of Supplemental Earnings (SSOI), Form Child custody and FINRA Schedule I preparation, review, and electronic submission.


Regardless if you are a recognised broker-dealer, investment advisor, hedge fund or broker-dealer, Asgard can help you in remaining up to date with the ever-altering regulatory atmosphere and permit you to concentrate on your core business. Services Provided include Mock SEC examinations, AML independent reviews, Code of Ethics, Risk Controls, Procedures and policies, Perform or help in the annual Chief Compliance Officer review, Real-time compliance support, Periodic updates of recent rules, and Training of Compliance and Operational staff.

Broker-dealer services at asgard regulatory compliance with expert, reliable

Compliance Outsourcing

Asgard offers an array of compliance services on the predetermined fee or each hour basis. You select the help that you want to delegate. We are able to personalize your compliance program and provide solutions that meet the requirements of the firm. Asgard will be your back-office support system. We’ve experienced staff open to you to become your source of any question or issue you might have. We’ll work with your firm to help your broker-dealer, investment advisor, hedge fund or lender together with your compliance program. Our customizable compliance solutions can help you meet your regulatory needs.