Training and Mentoring

It can be challenging for firms to stay up-to-date with current trends, best practices, and changes in rules and regulations. Our team at Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”) is composed of former in-house CCOs, regulators, and compliance professionals who have extensive compliance experience. Each senior team member has built a strong reputation as a thought leader in the compliance industry, and many of our consultants regularly present at national conferences and webinars.

Our consultants are passionately dedicated to sharing their knowledge and building strong relationships with our clients. They have years of experience mentoring and training compliance personnel, marketing teams, and senior management. Our training and mentoring services are customized to your firm’s needs. We offer both focused training and firm-wide compliance training to give your personnel the knowledge and resources they need to navigate this complex space.

Learn More About Our Personalized Training and Mentoring Services

Core Compliance

can help you with:

  • Annual Compliance Training
  • Focused Training on Specific Compliance Areas
  • Mentoring Compliance Personnel & New CCOs
  • Firm Element Compliance Training
  • And Much More
What the SEC’s Ongoing Vigilance of Mutual Fund Share Class Selection Means for Advisers

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

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