Compliance Risk Assessment Services

Compliance Risk Assessment Services Core Compliance provides comprehensive consulting services for investment advisers. From advisory firm formations, to ongoing maintenance and testing of your compliance program, Core Compliance can assist. Our goal is to provide first-in-class service while developing compliance controls tailored to your firm.

Core Compliance can assist with overseeing and assisting with ongoing broker-dealer registration and membership applications with FINRA. Core Compliance can also provide independent audits of the firm’s anti-money laundering and broker-dealer compliance program.

Our team evaluates the intricate details and considerations private equity firms face with the risk management, regulatory compliance issues and due diligence considerations prior to and during the capital raising process. Our consultants will provide customized consultation based on current industry best practices.

With heightened regulations governing hedge funds, there is greater regulatory risk and potential for non-compliance.  Let Core Compliance help you handle the unique regulatory compliance challenges of today. We can provide guidance on industry best practices, help you develop and implement your compliance program, conduct mock examinations, and provide your firm with mentoring, training and education on the latest regulatory issues.

Core Compliance can assist your insurance business by offering outsourced solutions for tracking license renewals and producer continuing education.

Core Compliance does not provide legal advice. All requested legal services are provided through our affiliated law firm, Jacko Law Group, PC, under a separate engagement agreement. For more information, please visit www.jackolg.com.

Core Compliance will also work with your outside counsel upon request. We provide expert witness services, as well as comprehensive compliance training. All client packages are customized to meet your specific needs.

Cybersecurity is a significant compliance and business risk that affects nearly all firms. Core Compliance has developed a six-point cybersecurity action plan that is practical, economical and effective.