-
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
-
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
October 16-19, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP 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 MoreMichelle Jacko to Speak at 2023 NSCP National Conference
Duty of Care and Loyalty – What Investment Advisers Need to Know
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO