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Core Compliance & Legal Services, Inc.℠ specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. Core Compliance understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm. We are driven by our excitement for the industry; committed to finding the most effective and innovative solutions for our clients. Contact us today to learn more about our offered services and to talk with a Core Compliance specialist!CHECK AVAILABILITY TODAY

Core Compliance Blog Spotlight

The SEC Waves a Cautionary Yellow Flag for Investment Advisers Associated with Wrap Fee Programs

The continued growth of investor assets participating in wrap fee programs has prompted regulators to maintain a sharp focus of the programs as part of an ongoing assessment of market-wide risks and matters of importance to retail investors saving for retirement.

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Through our client communications, trainings and monthly Risk Management Updates, we provide guidance on compliance...

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