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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
As the world of compliance in the investment advisory and broker-dealer spaces continues to evolve and the scope of required services expands, compliance professionals in the industry are leveraging technology and third-party vendors more than ever to meet the demands … Read More Whether you’re a seasoned compliance professional or just getting started in the industry, one of the biggest hurdles you may encounter is aligning senior management with compliance. At Core Compliance & Legal Services, Inc. (“Core Compliance”), we often hear “if … Read MoreCompliance Evolution: Outsourcing Solutions for 2023
How to Start Aligning Your C-Suite with Compliance
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO