Investment Adviser & Financial Advisory Consulting Services
Whether you are starting a new investment advisory firm, changing from state to federal registration, expanding your business offerings or desiring comprehensive investment advisory consulting, we can help. Core Compliance & Legal Services, Inc. ℠ ("Core Compliance") consultants have worked in the investment advisory industry and understand the complexities and intricacies of advisory business operations at all levels.
Customized Compliance Solutions
Core Compliance customizes our services to meet the unique needs of each client firm, regardless of size, which helps to provide cost effective, efficient solutions for our clientele. The goal of Core Compliance is to meet the complex needs of your business with comprehensive evaluations, advancement of internal controls, implementation of technology and practical compliance solutions.
Core Compliance can help you with:
- Investment Adviser Formation
- Preparation and Filing of Forms ADV Part 1 and 2
- Annual Regulatory Filings
- Regulatory Examination Preparations and Oversight
- Performance Advertising and Marketing Reviews
- Customized Policies and Procedures Manual
- Best Execution, Soft Dollar, Trade Allocation and Proxy Voting Compliance
- Guidance and Assistance with Converting from State to SEC Registration
- Performance of the Annual Review
- Risk Assessments and Mock Examinations
- Compliance Program Development and Maintenance
- Advising on Compliance Program Technology Solutions and Internal Controls
- Mentoring the Chief Compliance Office and Training Firm Personnel
- Business Continuity, Cybersecurity and Succession Planning
RIA Consulting Services
Once your RIA is formed, Core Compliance can provide continuing or project-based consultation services dependent upon your needs.
Core Compliance’s Investment Advisory Services include all of the above services, plus:
- Annual regulatory update filings for the firm and its adviser representatives
- Review and refinement of current investment adviser compliance program
- Analysis of requisite internal controls and mitigation of known conflicts of interest
- Outsourcing solutions (such as review of marketing and performance advertising,
U-4 filings, annual ADV updates etc.) - Guidance and assistance with converting from State to SEC Registration
- Analysis of how new and revised regulations affect your firm
- Ongoing maintenance of customized compliance calendar
- Quarterly onsite compliance consultation visits
