Our Services
WHAT WE DO
Asgard initiates each engagement by conducting thorough interviews with your management team to identify the regulatory requirements specific to your firm. We then partner with management to devise and implement strategies that ensure continuous compliance. Our team works both on your behalf and in close collaboration with you to meet the standards set forth by FINRA, the SEC, and other relevant regulatory authorities.
BROKER-DEALER COMPLIANCE SERVICES
Asgard is comprised of a team of dedicated and highly skilled regulatory compliance and risk management professionals, specializing in the creation, implementation, and enforcement of robust broker-dealer compliance programs. Our experts provide proactive, tailored support services to your firm, offering varying levels of ongoing, continuous assistance that can be customized to meet your unique needs. This flexibility ensures seamless transitions between programs as required.
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.
PROJECT & AUDIT SERVICES
In addition to delivering ongoing compliance solutions to a broad range of financial services firms, Asgard also offers a comprehensive suite of services tailored to firm-specific audit and project-based needs. Our experienced professionals have successfully partnered with numerous firms to ensure audit requirements are fully met and regulatory expectations are exceeded. With a deep understanding of industry regulations and best practices, our team is well-equipped to identify potential risks and compliance gaps through targeted project work.
Our Process
1.
Once engaged, develop a strategic plan with senior management.
2.
Develop a compliance program implementation plan.
3.
Continuous and ongoing communication to ensure all milestones are completed.