Core Compliance and Legal Services, INC.

Welcome to Core Compliance & Legal Services

Event: 'NSCP Regional Meeting'

Conferences

Date: Monday, March 12, 2012 - 8:00 am

Duration: 1 Day

(San Francisco, CA) - IA Regulatory Exams & IA/PF Ethics, Compliance and Risk in Today's World

NEWSSTAND

Practical Tips for RIA Service Agreements - Making Sure Your Clients Are Happy and You Are Protected

January 2012

Compliance End-of-the-Year Checklist

December 2011

Rule 204A-1 Investment Adviser Code of Ethics

November 2011

Outsourcing Solutions for Compliance Professionals

October 2011

Transition from SEC
to State Registration -
Click Here

CCLS Blogs

Form 13F Filing Deadline Approaching

Section 13(f) of the Securities Exchange Act of 1934 requires institutional investment managers with investment discretion over $100 million or more of certain equity securities to file quarterly reports disclosing ...

Massachusetts Issues Guidance Regarding Use of Social Media by Investment Advisers

Recognizing the rapid growth of the use of social media in the securities industry, the SEC recently released a Risk Alert on the use of social media by investment advisers ...

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