Regulatory Compliance Management & Financial Compliance Software

Core Compliance & Legal Services, Inc.℠ ("Core Compliance") can assist financial firms with automated compliance solutions to manage and monitor their compliance programs, which allows for operational efficiencies and mitigation of regulatory risks.

Risk Management Software & Regulatory Compliance Software

CORE TRAC- Technology Resources and Consulting

CORE TRAC provides automated compliance technology that assists with supervisory monitoring and operational efficiencies. CORE TRAC is a great resource for registered investment advisers, broker-dealers, mutual funds, private equity firms, hedge funds and public companies. You may choose from a variety of different modules to build a customized package that is right for your firm. As part of these services, we will provide consultation services to assist with onboarding and implementation.



CORE TRAC currently offers the following modules:

  • Compliance Workstation with Task Scheduler and Reporting for Annual Reviews
  • Employee Trade Sphere™ (includes Personal Trading, Advertising Review Tracking, Gifts, Entertainment and Outside Business Activity Reporting)
  • Insider Trading Detection
  • Best Execution Analytics For Equities and Fixed Income
  • Performance Dispersion Reports
  • Unusual Activity Alerts
  • Anti-Money Laundering with KYC and CIP Lookup
  • Global Holdings Filing Alerts

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

    For more information, please contact us.