Compliance Reference Room

The Compliance Reference Room is an online, searchable regulatory reference tool for SEC registered investment advisers. It is a great educational tool for Chief Compliance Officers and compliance staff.

The Reference Room contains:

• overviews of the major laws and regulations applicable to advisers
• practical advice and best practices on various compliance procedures
• information on proposed rules, new rules and more.

The content is written and updated by the compliance experts at Cordium.

Searchable database and library of forms

The Reference Room comes with a searchable web database which means that you can easily find answers to many of your compliance questions. The search feature will pull up the most relevant articles and show you relevant “hot topics.”

The Reference Room also contains a library of template forms that you can download in MS Word format to use modify and use internally.