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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
Regulators have showed renewed interest in investment fees in recent years. Specifically, the U.S. Securities and Exchange Commission (SEC) has heightened focus on advisers not complying with the Investment Advisers Act of 1940, when fully disclosing all material conflicts of … Read More The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations (EXAMS) issued a Risk Alert last month focusing on notable deficiencies examiners have found related to investment advisers’ compliance with material non-public information (MNPI) and Investment Advisers Act Rule 204A-1 … Read MoreWhat the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers
SEC Issues Risk Alert On Investment Adviser MNPI and Code of Ethics Issues
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO