Cordium provides a complete ongoing Rule 38a-1 compliance support service covering all aspects of the compliance obligations of registered investment companies (“RICs”) and Fund CCOs. Our Investment Company Compliance Services team will assist CCOs by standing beside them with the professional help of an expert mutual fund compliance team.
We can provide the regular advice and assistance that you need to help your fund comply with the rules and regulations and also to meet their expectations. Our ongoing Rule 38a-1 compliance support services assists the Fund’s CCO with all aspects of the Fund’s compliance requirements.
Fund CCOs looking for proactive, hands-on compliance and operational support are best suited for our ongoing compliance RIC support services. We can tailor the consulting relationship depending on the size and complexity of your fund or fund complex and your specific compliance needs.