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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

Record Market Trading Volume in 2020 Could Prompt Your Firm’s Need to File SEC Form 13H

The global COVID-19 pandemic has changed the way many of us live, work, and invest. Trading activity in global and domestic markets spiked last year, partly as a result of the added time millions spent at home to avoid exposure to the coronavirus.

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Through our client communications, trainings and monthly Risk Management Updates, we provide guidance on compliance...

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