CHAPERONE SERVICES

Ridgetop Research has partnered with Cordium to offer Chaperone Services to our clients. Cordium is a leading provider of regulatory compliance consulting services and software. Their focus is not only to help investment managers, advisers, and financial enterprises meet their compliance and regulatory challenges, but to turn compliance into a must-have business advantage.

Cordium offers two levels of Chaperoning Services that are consistent with the high standards you expect from Ridgetop Research.

LEVEL 1 SERVICES

During these consultations, Cordium will:

  • Attend the consultation as a silent attendee
  • Take and share detailed minutes of the consultation including introductions, exchange of requested information and concluding remarks
  • Provide an assessment of the overall risk of the conversation included tracked material non-public information, forward thinking statements, and personal opinions
  • Research and screen publicly available information against available records (e.g. 10Q’s, etc.)
  • Screen for public company employee information and required paperwork process for participation pre-approval

LEVEL 2 SERVICES

During these consultations, Cordium will provide all of the services listed under Level 1 and add the following:

  • Collect and manage attestations from client questionnaire, work for public company, and “No Trade” lists
  • Provide regularly scheduled Due Diligence calls
  • Review numbers conveyed during the consultation and compare against public information
  • Research subject matter, technical terms, and acronyms prior to the consultation

For further information regarding this partnership and chaperone services, please contact John Bell at jb@ridgetopresearch.com