ADVANCED

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 Micah Taylor on 001 212 515 2800.

"Cordium was invaluable to us during our FSA application process, ensuring that our paperwork was in order and helping us respond appropriately to questions from the FSA. Their ongoing consultancy services have been responsive both to our ad hoc queries and to our growing compliance expertise."

Director, Multi- billion Dollar Global Real Estate Firm