Broker Dealer Compliance
Cordium works with US and international broker dealers, to help them meet their regulatory obligations and reduce their compliance risk profile.
We also provide on-going daily compliance support. We understand the importance of the compliance function to the Member Firm and devise unique ways to meet and exceed the expectations of the firm’s functional regulator, while at the same time recognizing the limitations of a firm’s capabilities in compliance program designs and recommendations.
If you would like further information on Cordium’s broker dealer services please contact our New York office on 001 212 515 2800.
Partner and Compliance Officer, UK Private Equity Manager