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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

OCIE Identifies Compliance Shortcomings Regarding Privacy Notices and Safeguard Policies (Regulation S-P)

Through their examination process, the Office of Compliance Inspections and Examinations (OCIE) has uncovered a number of compliance concerns pertaining to Regulation S-P, the Securities and Exchange Commission (SEC) regulation that defines requirements for privacy notices and safeguard policies...

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

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