3900 Veterans Memorial Highway, Suite 360, Bohemia, NY 11716

(631) 801-2900

About Us

Why Asgard Compliance?

Asgard can provide you with a team of experienced regulatory professionals who are committed to providing the highest quality of regulatory compliance consulting and advisory services in the industry. We will develop a tailored compliance program designed specifically to meet the individual needs of your business.

Our Approach

Asgard approaches each relationship by developing a customized regulatory compliance program that is designed to address all of your Firm's specific regulatory needs.

 

Asgard begins each engagement by interviewing your management team to develop a list of regulatory requirements specific to your Firm. We then collaborate with management in order to plan and execute strategies to achieve ongoing compliance. Our consultants will work for you, and with you, to achieve compliance with the rules and regulations of FINRA, SEC and other governmental regulatory bodies.

Customized Compliance Solutions

We identify and analyze the needs of your compliance program within your business and design a compliance program that addresses your needs. We find ways to make compliance fit seamlessly into your business model.

Competitive Pricing

It's our goal to deliver quality regulatory compliance consulting services at a cost that will accommodate your budget.

Easily Accessible

Asgard makes client service a priority, and is available to you at your convenience. We pride ourselves by establishing a schedule of on-site visits for your Firm, and by providing continuous support via telephone and e-mail.

We believe regular face-to-face interaction with our clients creates the most advantageous working environment. We schedule regular on-site visits to conduct reviews and provide feedback. In addition, we provide continuous support to our clients via telephone and email. Further, when warranted, we will visit clients on non-scheduled days to provide in person, live support. All compliance manuals or control procedures provided to you are customized for your Firm. We provide expert regulatory compliance support to your Chief Compliance Officer.

Long Island Office

3900 Veterans Memorial Highway Suite 360

Bohemia, NY 11716

(631) 801-2900

 

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