Over the past two decades, a wide range of financial services firms around the globe has turned to us for help with their compliance and operational issues. Our team helps firms at every stage, from start-up to the issues growth and maturity can present.

We understand that every financial services firm is different – with its own challenges and opportunities. They listen, and provide the right solutions for each individual engagement. Explore the different types of firms we’ve helped below.

ASSET MANAGERS

Asset Management Solutions - Cordium

Asset managers today are confronted with a wide range of compliance challenges. The nature of these challenges can vary from jurisdiction-to-jurisdiction – ensuring ongoing compliance can involve considerable complexity. Our team has deep expertise across a range of specializations and asset management solutions, from emerging regulation, cybersecurity, reporting, tax, and compliance processes.

BANKS

Bank Compliance - Cordium

Banks today are faced with a range of unprecedented challenges. From maintaining the right culture to demonstrating a robust cybersecurity infrastructure, compliance teams can struggle to keep up with the demands placed on them. We can help to create or improve compliance processes, embed software solutions, and drive an enhanced approach to cyber risk.

BROKER DEALERS

Broker Dealers - Cordium

The compliance landscape today is constantly shifting for broker-dealers. New rules, increased enforcement pressures, and a dynamic business environment all can make managing compliance challenging. We have helped broker-dealers manage a wide range of challenges – from tackling specific remedial regulatory projects to implementing software solutions that will ensure ongoing compliance is quick and simple to perform. In addition, our cybersecurity consulting services can help ensure the broker-dealer’s systems are safe, secure, and aligned with new rules about data protection that are coming in force around the globe.

INVESTMENT ADVISERS

Investment Advisors - Cordium

Never has it been more important for investment advisers to be sure they are compliant with the range of rules that apply to their organization. With the velocity of regulatory change constantly accelerating, it can be hard to keep on top of the latest requirements. Our consultants can help support your compliance programs by leveraging our consulting services and technology. We also provide training and outsourced services for reporting, tax, and other requirements.

PRIVATE EQUITY

Private Fund Managers - Cordium

Private equity firms are coming under increased regulatory scrutiny and being subjected to oversight, enforcement actions, and deficiency findings by global regulators. As a result, the private equity industry has had to provide greater transparency to investors around conflicts of interest. We offer a wide range of governance, risk, and compliance services that not only help our clients comply with evolving regulatory obligations, but also promote best practices in their operations.

PRIVATE FUND
MANAGERS

Private Fund Managers - Cordium

Private fund managers are conscious of the potential fallout from failing to manage compliance risk properly. We can address compliance requirements for hedge fund, private equity fund, and other private fund management groups. Our services range from starting a new fund on the right footing with regulators, to embedding regulatory change processes through both consulting and technology. Firms in the UK can also outsource tax, reporting and payroll functions, and engage with Mirabella’s regulatory hosting services.

 

 

 

 

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