Who We Serve
A Trusted Partner to Support Your Growth
Our decades of combined regulatory experience and highly engaged, personalized service provide your business with the expertise, attention, and transparency it deserves. The Core Compliance team will partner with you to maintain a comprehensive compliance program.
Investment Advisors
Registered investment advisers are required to have robust compliance programs in order to pass regulatory muster, which includes meeting a litany of regulatory requirements and deadlines. Whether you’re registering as a new investment advisory firm, expanding your business offerings, or looking to engage with an outsourced Chief Compliance Officer, Core Compliance has the expertise to ensure that your compliance program will meet – and exceed – the SEC’s expectations.
Private Fund Managers
Investment advisers to private funds are required to have a compliance program tailored to the industry’s specific regulatory requirements and to the risk profile of each firm. Whether you manage a private equity fund, private real estate fund, or hedge fund, you need a comprehensive compliance program that effectively addresses the SEC’s requirements, in particular as it pertains to private fund-specific filings and disclosures. The Core Compliance team can help you meet those demands and address your firm’s unique risks, whether as your outsourced CCO or in a support capacity.
Broker-Dealers
Are you looking for a broker-dealer compliance consultant to help with initial registration or an overall enhancement of your existing compliance program? The Core Compliance team can assist with registration, guidance on ongoing FINRA compliance requirements, written supervisory procedures, serving as your outsourced CCO and more.
Investment Companies
As a registered investment company, it’s crucial for all advisers, sub-advisers, sponsors and service providers to ensure regulatory requirements are satisfied and deadlines are met. Whether you advise a mutual fund or an ETF, Core Compliance can partner with you to manage and enhance your compliance program, including guidance and assistance with board reporting and even providing an outsourced CCO.