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

Core Compliance - Our Team

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
Conflicts of Interest Rule | Disclosures | Investment Adviser | Risk Management Updates (RMU) | Securities and Exchange Commission (SEC)
Duty of Care and Loyalty – What Investment Advisers Need to Know

In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More

May 23, 2023 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