Cordium offers varying levels of project-based compliance consulting. We work with you to help analyze your needs and determine which project best suits your firm. Please read below to learn more about our project-based services.
- SEC Registration
- Cordium provides focused and efficient SEC and ERA registration and compliance infrastructure development for private fund managers and other investment advisers. The service helps firms with (1) completing and supporting the firm through the registration process; and (2) creating a solid foundation for development of a compliance infrastructure. Whatever your needs may be, Cordium can assist you through the registration process in a cost effective and streamlined manner.The scope of an SEC or ERA registration project will be determined in collaboration with each client, but may include:
■ Preparation and submission of entitlement forms with FINRA
■ Preparation and filing of Form ADV Part 1 (as applicable)
■ Preparation of Form ADV Part 2A and 2B (as applicable)
■ Detailed review of existing procedures and operational / practical issues
■ Creation of a Compliance Manual and Code of Ethics
■ Creation of a tailored compliance calendar outlining compliance / regulatory tasks on a monthly basis
■ Employee compliance training sessions
■ On-going support throughout the registration process
■ Receipt of Cordium Client Alert emails
Additionally, on-going services can be provided after the initial project to help you sustain your compliance infrastructure. Please contact us to receive a detailed proposal for SEC or ERA registration.
- Compliance Evaluations/Mock Audits
- Compliance evaluation projects are designed for advisers looking for a comprehensive compliance infrastructure review of their obligations under the Investment Advisers Act of 1940 and other applicable regulations.The project team will perform a critical review of your internal compliance policies, procedures and existing business practices and provide feedback on our findings along with practical recommendations. Part of our feedback will include suggestions on how to simplify and streamline your procedures. The review can also be done in a “mock audit” format to mimic a typical SEC exam (where Cordium plays the role the examiner and the scope of the project is more limited).The scope of a compliance evaluation project will be determined in collaboration with each client. View more .
- Compliance Planning Services
- Our compliance planning services are designed for advisers that are seeking compliance infrastructure development.
- Our project team will help you build out your compliance program by working with you to develop detailed compliance policies, procedures and practical guidelines. We will also include compliance training for your employees with respect to the newly developed procedures. If needed, our team can also assist you through the SEC registration process (from opening an IARD account through the preparation of your Form ADV).The scope of a typical project will be determined in collaboration with each client. View more.
- CFTC Registration Support
- Cordium provides focused and efficient support to firms required to register with the Commodity Futures Trading Commission (“CFTC”) as a commodity pool operator (“CPO”) and/or commodity trading advisor (“CTA”). This includes listing and registering the applicable firm personnel as Principals and/or Associated Persons.The scope of a CFTC registration project will be determined in collaboration with each client, but generally includes:
■ Establishing a NFA Online Registration System (ORS) account for the Registrants
■ Completing and filing Form 7-R (Firm Application) for the Registrants
■ Completing and filing initial Firm & Disaster Recovery Questionnaire for the Registrants (upon the NFA’s acceptance of 7-R filings)
■ Completing and filing Form 8-R (Individual Application) for each Principal/AP Applicant
■ Providing information to satisfy Principal/AP registration requirements, including proficiency/licensing requirements
■ Modification of compliance procedures to address CFTC/NFA issues
■ Receipt of Cordium Client Alert emails for one year
- Tailored Compliance Reviews
- Our tailored compliance reviews allow you to select targeted areas in which you need assistance and leverage the expertise of Cordium’s professional staff. We will put together a customized project based upon your needs and work to help meet your specific compliance obligations.The scope of a tailored review will be determined in collaboration with each client. Learn more here.