Project Based Services

Project based services based on your specific requirements

Cordium can undertake a variety of project based services, based on each fund’s, the Board’s or the CCO’s specific requirements.

Mock SEC Examinations

Cordium regularly undertakes mock SEC examinations for our clients. Cordium will work with you to conduct an onsite SEC Mock Examination utilizing materials currently used by the SEC in its examination program. This exercise is designed to be as realistic as possible with timing and documentation expectations mirroring the SEC staff. The goal is to prepare you for the real event in order to eliminate inefficiencies in the Fund’s response by identifying weakness in the Fund’s or a service provider’s compliance program, general operations or books and records administration.

Additionally, you have the option of using Cordium as a resource in the case of an actual SEC books and records examination.

Cordium offers other project based services including:

  • Compliance Program Evaluator Services
  • Risk Assessment and Gap Analysis
  • Compliance Testing and Analysis
  • Compliance Training