Support for Growth- Oriented Financial Firms

Expert SEC & Regulatory
Compliance Services

Expertise

We have over 100 years of combined in-house and regulatory experience

Partnership

We foster trust and collaborate as an extension of your compliance team

Growth

We handle your compliance needs so you can focus on your firm’s growth

about us

Our Unique Approach

About Us

At Core Compliance & Legal Services, Inc.℠ (“Core Compliance”), we work to weave compliance seamlessly into your business – not the other way around. Our experienced staff offers a high-touch, human-centric approach, giving you back the time you need to focus on your clients and the growth of your business.

Our Services

Customized Compliance Solutions

  • Regulatory Filings & Registrations

  • Regulatory Examination Assistance

  • Compliance Risk Management

  • Outsourced CCO

  • Compliance Technology

  • Performance Advertising & Marketing Reviews

  • Training & Mentoring

How We Can Help

Knowledge Center

Latest Episodes & Articles
Disclosures | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
Robo-Advisers are Not Immune from Compliance Failures

Regulators are continuing their focus on robo-advisers,[1] and since 2018 the Securities and Exchange Commission (“SEC”) has filed several enforcement actions reflecting violations of various regulations under the Investment Advisers Act of 1940 (“Advisers Act”).[2]  The most reoccurring are violations … Read More

July 25, 2022 0

“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”

Michelle L. Jacko, CSCP, CEO

Dedicated to Supporting the Strength of Your Compliance Program