Asgard Regulatory Group, LLC

Asgard Regulatory Group, LLC is a compliance consulting firm that provides expert guidance to financial services firms such as broker-dealers and investment advisers. Founded by industry veterans with extensive experience from regulatory bodies like FINRA and the SEC, the company assists clients in navigating the complex regulatory landscape. Their services include new firm registrations (FINRA NMAs), ongoing compliance support, development of supervisory procedures, anti-money laundering (AML) testing, and support during regulatory examinations.