INVESTMENT ADVISORY SERVICES

INVESTMENT ADVISORY SERVICES

Asgard partners with a wide range of advisory firms, and our analysts possess deep expertise in SEC regulations and compliance protocols. Whether you need assistance with regulatory filings—such as Form 13F submissions or Form ADV amendments—conducting Investment Committee meetings, or managing quarterly attestations, our team is equipped to help you meet your daily, quarterly, and annual compliance obligations efficiently and accurately.

 

  • CHIEF COMPLIANCE OFFICER SERVICES

  • POLICIES AND PROCEDURES

  • REGULATION BEST INTEREST

  • FORM CRS PREPARATION

  • COMPLIANCE AND BROKERAGE COMMITTEE MEETINGS

  • COMPLIANCE CALENDAR

  • PERSONAL TRADING REVIEWS

  • INVESTMENT ADVISER REGISTRATIONS

  • ANNUAL COMPLIANCE ASSESSMENT

  • CODE OF ETHICS

  • DISCLOSURE AND CERTIFICATIONS

  • ASSISTANCE WITH REGULATORS

  • TRADE REVIEW

  • REGULATORY RESPONSES

  • ANNUAL COMPLIANCE MEETINGS

  • TRAINING AND EDUCATION

  • OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING

  • SEC FILINGS

  • COMMITTEE MEETINGS