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 our New York office on 001 212 515 2800.

"The most helpful part of the ELF Software is not having to receive paper statements anymore since employees must link their reportable brokerage accounts to the system.  It's also helpful to know that I can log on to monitor activity/transactions as close to real-time as possible."

Chief Compliance Officer, $4BN Hedge Fund Manager