Investment Advisory Consulting

Whether you’re registering as a new investment advisory firm, changing from state to federal registration, or looking to expand your business offerings, you need an expert compliance team on your side to ensure that all regulatory requirements and deadlines are met in a thorough and timely manner. At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we act as a strategic partner and extension of your firm’s compliance team. We take on the enormity of critical compliance regulations, offering expert guidance to break everything down into a manageable and effective process.

Our team offers comprehensive evaluations, enhancement of internal controls, implementation of technology, and practical compliance solutions. We have extensive experience in the securities industry, with a deep understanding of the complexities and intricacies of an advisory firm’s business. Whether you’re in need of comprehensive compliance solutions or individualized services, we work to meet the unique needs of your business – with solutions that support your firm’s overall compliance efficiency.

Get Customized Investment Advisory Consultation Services

Core Compliance

can help you with:

  • Form Filings & Registrations
  • Performance of Annual Review
  • Compliance Risk Management Oversight 
  • Regulatory Examination Preparation & Assistance
  • Performance Advertising & Marketing Reviews
  • Serving as Your Chief Compliance Officer
  • CCO & Compliance Team Mentoring/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