Rule 38a-1 Reporting Services

Clearly written Rule 38a-1 reports

Cordium has designed efficient compliance testing schedules that can have the biggest impact on determining the adequacy and effectiveness of the implementation of your fund’s compliance program.

Our consultants can conduct a comprehensive review of each element of the Fund’s compliance program over the course of a twelve month period.  The result of our testing is the preparation of  a clearly written Rule 38a-1 annual report or quarterly update and a compliance program assessment, so the Fund Board can easily absorb the compliance information provided to them.