Customized Compliance and risk management Solutions

who we serve

Asgard Regulatory Group, LLC is a leading provider of risk management and regulatory compliance support services for broker-dealers , registered investment advisers, private equity firms, transfer agents and decentralized finance companies.

the asgard advantage

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Tailored Solutions

We develop a deep understanding of your firm’s unique challenges and implement a strategy to address your compliance and risk management needs.

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Support & Accessibility

Continuous and speedy support via telephone and e-mail during business hours.

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Competitive Pricing

Quality regulatory compliance consulting services that accommodate your budget.

 

Our Firm

Asgard Regulatory Group (formerly SSG Advisors) was founded by Jonathan Hurd in 2008 and provides compliance services to financial firms.

Asgard Regulatory Group, LLC was founded by Jonathan Hurd in 2008 to create a regulatory compliance services organization that would provide customized services for small to medium sized businesses.

Over the past 15 years, our professional staff has grown to include former regulators, C-Suite compliance executives, Certified Anti-Money Laundering Specialists and FINRA licensed principals.

Most notably, Asgard is passionate about in-house development. We pride ourselves in organic growth. We achieve this by engaging in unique and challenging projects that allows us to work in a collaborative environment.

Services

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MANAGED SUPPORT SERVICES

Establishing, maintaining, and enforcing highly effective broker-dealer and investment advisor compliance programs with various levels of ongoing continuous support.

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CCO SERVICES

Outsourced Chief Compliance Officer designation and fractional support to fulfill your firm’s regulatory requirements.

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AUDIT AND COMPLIANCE TESTING SERVICES

Comprehensive testing of your firm’s policies and procedures, internal controls and key risk indicators. Reviews include mock audits, cyber program evaluation and risk assessments.

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