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Support for Growth-Oriented Financial Firms
Expert SEC & Regulatory
Compliance Services -
Support for Growth-Oriented Financial Firms
Expert SEC & Regulatory
Compliance Services
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

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
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Regulatory Filings & Registrations
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Regulatory Examination Assistance
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Compliance Risk Management
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Outsourced CCO
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Compliance Technology
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Performance Advertising & Marketing Reviews
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Training & Mentoring
How We Can Help
Knowledge Center
Latest Episodes & Articles
By: Suzette Hagan, Compliance Consultant, & Christopher Hufty, Compliance Consultant In today’s electronically connected world, more and more exchanges are happening online, in terms of both sensitive information and currency. Be it communication through social media platforms, mobile applications, email, … Read More April 23-26, 2023 | 2023 Red Oak User Conference | Speaker: Michelle L. Jacko, CSCP, CEORisk Alert Review: Elements of Regulation S-ID that Impact the Industry
Red Oak Compliance Conference Featuring Michelle Jacko
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO