Regulatory Compliance Expert Witnesses

Core Compliance & Legal Services, Inc.℠ ("Core Compliance") is proud to have seasoned consultants who are well-versed in a diverse number of compliance areas including regulatory compliance expert witnesses and compliance training. Many present at national compliance conferences and webinars, interfacing with regulators and other industry experts on a continuous basis. With this experience, our consultants can provide in-house training to help satisfy continuing education requirements both at the firm level and for C-Level executives.


Regulatory Compliance Expert Witnesses

Expert Witness

Core Compliance also provides expert witness services and will work with your outside counsel upon request. Trial lawyers have turned to Core Compliance because of our highly credentialed and knowledgeable experts in areas dealing with supervisory controls, investment products and services. We understand that trying a case involving complex compliance matters governed by a myriad of state and federal securities laws and regulations can be a challenging undertaking. With extensive in-house industry experience in roles such as legal counsel of investments and chief compliance officer, our consultants can provide practical guidance on the securities marketplace, which will provide valuable insight into the strength of your case moving forward.

Our expert witness services include the following areas:

  • Investments, Including Stocks, Mutual Funds, Annuities, Hedge Funds and REITS
  • Sales Practices and Investor Suitability
  • Client Disclosures
  • Privacy Controls
  • Marketing and Advertising Regulations
  • Supervisory Systems and Controls

    Core Compliance provides all of these customized services
    based on your unique business needs.

    For more information, please contact us.