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Regulatory SEC Compliance Consulting

 

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!

Core Compliance Blog Spotlight

Preparing for the U.S. Department of Labor’s Proposed Clarification on ERISA Proxy Voting

On August 31, 2020, the U.S. Department of Labor (DOL) released a proposal under the Employee Retirement Income Security Act of 1974 (ERISA) to amend fiduciary duties regarding proxy voting and shareholder rights.

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