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
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
“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 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
Outsourced Compliance Solutions Catalog of Services Packages designed to fit your business needs The Core Compliance team is here to help with all of your compliance needs. Whether you are a registered investment adviser, an investment company, a private fund … Read More
Outsourced Compliance Solutions Outsourced CCO Comprehensive Compliance Partner Core’s expert compliance professionals will work closely with you to serve as your dedicated compliance team. As your firm’s Outsourced CCO, Core Compliance can do the heavy lifting involved with running a … Read More
Outsourced Compliance Solutions The Core Compliance Approach Our Solutions Core’s packaged service offerings provide a comprehensive solution to meet the needs of registered investment advisers and broker-dealers. Our team of compliance professionals has the experience and expertise to oversee and … Read More
October 16-18, 2023 | NSCP National Conference | Dallas, TX | Speaker: Michelle L. Jacko, CSCP
In July 2019, the US Securities and Exchange Commission (“SEC”) issued interpretive guidance on the standards of conduct for investment advisers.[1] The guidance outlines an investment adviser’s duty of care and loyalty as a fiduciary to its clients and specifically … Read More
June 1, 2023 | 9:00am PT Speaker: Michelle L. Jacko, CEO, and Christian Kelly, Chief Technology Officer, Xantrion Join our free live webinar on June 1st at 9 am PT to learn how the anticipated SEC New Cyber Rules could … Read More