The Future of Your Compliance Program

In this unprecedented time of the industry, a main concern for many is the unknown, and from a business and risk management perspective, have you done enough in response to COVID-19. The pandemic impacts financial industry firms, their clients and employees.  How have you responded and what do you still need to do?  

Every day the Core Compliance SM team is focused on identifying methods and measures to mitigate the impact that COVID-19 has had on our industry. Our commitment to our clients and partners remains our top priority.

We are here to be your guiding light in the sea of uncertainty.

Core Compliance’s customizable COVID-19 Response Plan provides assistance and guidance now. We plan to unravel more resources for the industry as news and the market shifts. Our services are designed to position your firm for the future. We start with assessing where you are now and partnering with you to make sure each step of the way that your needs and concerns are met with ease. Our goal is always to be your solution.

Compliance Program Risk Analysis in Response to COVID-19

COVID-19 has changed life as we know it. Sheltered-in policies have forced firms to establish remote protocols to service clients, communicate with personnel via video conference and trust associated personas to execute their duties without “hands-on” supervision. But where do we go from here?

Our Compliance Program Risk Analysis evaluates how effectively the firm has responded to COVID-19 and what still needs to be addressed. For a fixed fee, our team will assess and develop an action plan to address each area based on your existing resources and needs:

  • Business continuity plan
  • Cybersecurity controls
  • Remote supervision structure
  • Client correspondence
  • Maintenance of books and records
  • Vendor and customer communications
  • And much more.

Click here to learn about what is included in your firm's Compliance Program Risk Analysis.

Our action plan will provide a road map for you to follow to address regulatory compliance and operational risks facing your business. We will present proactive, workable solutions and work with you to develop customizable solutions.

For more information, click here.

Other Immediate needs – Completion and Filing of Form CRS

Unlike Form ADV, the SEC has not provided conditional extensions for the regulatory filing. While new Form CRS is limited to only two pages, the SEC requires firms to pack a lot of disclosures into the filing. The team at Core Compliance stands ready to assist you in drafting your Form CRS.

Click here for more information.

As more information regarding the market and COVID-19 is released, Core Compliance will be updating this services page to create more comprehensive custom solutions for every firm. Please check back.

Contact our team to learn more and get your own custom COVID-19 Response Plan.