The Safekeeping of Client Assets
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An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1]  An investment adviser with custody of client assets must: ensure … Read More
Update on State Adoption of NASAA’s IAR CE Model Rule
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  Core Compliance has published a number of items on the North American Securities Administrators Association Investment Adviser Representative Continuing Education Model Rule over the past few years and, in light of some recent activity among various states adopting the … Read More

Basic Package
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Outsourced Compliance Solutions Basic Package Compliance Support You may have the manpower to handle most of your compliance internally – but any firm can benefit from a second set of eyes. Our Basic Package provides essential compliance maintenance services to … Read More

Core Package
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Outsourced Compliance Solutions Core Package Fundamental Compliance Support Looking for a more in-depth approach to compliance consulting services? Our Core Package is geared toward firms with a CCO looking for a robust support package to enhance an existing compliance program. … Read More

Deputy CCO
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Outsourced Compliance Solutions Deputy CCO Comprehensive Support Our Deputy CCO Package is designed to relieve your Chief Compliance Officer of some of the more significant and time-consuming compliance tasks by partnering with a trusted, outsourced team of compliance professionals. We … Read More

Private Fund Considerations
Private Fund Investment Considerations
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For investment professionals, there are a seemingly endless array of rules and regulations to consider when reviewing a client’s existing investments and considering new investments to recommend.  In this month’s Risk Management Update, we take a look at a few … Read More
Experiences from FINRA Disciplinary Review Panels
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“Familiarity breeds contempt” It’s an old saying that proves itself relevant again and again.  When looking over the headlines or  through the trade publication emails that fill our inboxes, even the most casual observer can find examples of someone whose … Read More

Who We Serve
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Who We Serve A Trusted Partner to Support Your Growth Our decades of combined regulatory experience and highly engaged, personalized service provide your business with the expertise, attention, and transparency it deserves. The Core Compliance team will partner with you … Read More

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