The Cordium “Help Desk” is a compliance consulting support service which allows you to get quick direction on general compliance queries and issues regarding your compliance infrastructure, providing clients with a cost effective and reliable alternative to help them navigate the often complex and confusing interpretations and meanings of both regulatory and best-practice policies and procedures. The Help Desk is staffed by members of our experienced team who have extensive knowledge and practical background on the various issues which can create daily frustrations for all investment advisers. We also consult on new regulations that arise and provide a clear and efficient path to managing new items. View our brochure here.
Topics which the Help Desk can cover include general questions related to registration as an investment adviser with the SEC and applicable Adviser Act rules such as:
■ ADV deadlines and required information
■ Personal trading requirements under Advisers Act Rule 204A-1
■ Conflicts of interests
■ Annual review requirements
■ AML/FCPA issues
■ General CFTC and/or NFA requirements
■ General, high-level questions about applicable regulatory filings (such as Form PF, 13F, 13H, etc.)
■ General, high-level questions about insider trading-related issues
■ General, high-level questions about marketing/distribution issues
■ New regulatory developments
NOTE: The “Help Desk” does not include in-depth project work or deliverables. Examples of project work that can be added include (but are not limited to): (i) making and/or reviewing ADV revisions; (ii) making and/or reviewing amendments to Compliance Manual and/or Code of Ethics; (iii) assisting in responding to inquiries from regulators; (iv) drafting and/or reviewing regulatory filings; (v) performing compliance review of specific marketing document and/or investor reports; and (vi) active participation by HedgeOp in an annual review. If such work is required, our consultants can be on hand to facilitate the arrangement of service contracts to cover such work for additional fees.