Compliance evaluation projects are designed for advisers looking for a comprehensive compliance infrastructure review of their obligations under the Investment Advisers Act of 1940 and other applicable regulations.
The project team will perform a critical review of your internal compliance policies, procedures and existing business practices and provide feedback on our findings along with practical recommendations. Part of our feedback will include suggestions on how to simplify and streamline your procedures. The review can also be done in a “mock exam” format to mimic a typical SEC exam (where Cordium plays the role as the examiner and the scope of the project is more limited).
The scope of a compliance evaluation project will be determined in collaboration with each client, but may include:
Review of procedures and actual practices related to:
Review of various disclosure documents for consistency among such documents and with actual business operations
Review of private fund specific issues, such as:
In addition, the project team will help you (as applicable to certain projects):