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
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.
Support & Accessibility
Continuous and speedy support via telephone and e-mail during business hours.
Competitive Pricing
Quality regulatory compliance consulting services that accommodate your budget.
Our Firm
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
MANAGED SUPPORT SERVICES
Establishing, maintaining, and enforcing highly effective broker-dealer and investment advisor compliance programs with various levels of ongoing continuous support.
CCO SERVICES
Outsourced Chief Compliance Officer designation and fractional support to fulfill your firm’s regulatory requirements.
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.