Publications

NSCP Currents – Year End Compliance Checklist Considerations for Investment Advisers

Updated: January 19, 2022 by

Lead Sr. Compliance Consultant Tina Mitchell‘s article, “Year End Compliance Checklist Considerations for Investment Advisers,” was featured in the October 2019 edition of the National Society of Compliance Professionals’ Currents.
Click here to read the article.

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Core Compliance & Legal Services, Inc. is a compliance consulting firm serving investment advisers, broker-dealers, investment companies, and private fund managers nationwide, built on decades of combined in-house and former-regulator experience. The team takes a high-touch, human-centric approach to SEC, FINRA, and state compliance — acting as a virtual extension of each client's compliance team so firms can pursue growth with peace of mind.

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