Regulatory Examinations

The SEC and states are constantly increasing their area of focus and accelerating their pace for examining firms. This means that your firm could be subject to an examination at any time. At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) we take a proactive approach to ensure investment advisers and broker-dealers are fully prepared to meet SEC exam priorities. Through our Mock Regulatory Examination services, our team of former in-house CCOs, state regulators, and compliance professionals are able to truly assess the strength of your firm’s compliance program and evaluate your firm’s preparedness for a regulatory exam.

As an extension of your compliance team, we are dedicated to helping you understand and meet your regulatory compliance obligations, providing your firm with assurance and peace of mind. We analyze your firm’s operations and current compliance program structure, applying our knowledge and experience to offer a custom remedied approach and help ensure any areas of risk are identified and addressed.

Learn More About Our Customized Regulatory Examination Services

Core Compliance

can help you with:

  • Establishing Project Objectives
  • Providing Initial Documentation Requests
  • Interviewing Key Personnel
  • Testing Systems & Controls & Reviewing Documentation Provided
  • Discussing Preliminary Findings With Senior Management
  • Delivering Final Report
  • And Much More


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Dedicated to Supporting the Strength of Your Compliance Program