Company Information

Get to know 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.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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Asgard Regulatory Group, LLC

United States

Founded in

2008 (18 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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FTD LIMITED

(505 reviews)

British Virgin Islands

2017

(9 years)

Security Information :

BVI FSC

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.