Mutual Fund Manager Consulting
In the investment company space, it’s crucial for sponsors, advisers, sub-advisers, and service providers to ensure regulatory requirements are maintained and deadlines are met.At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we work as your strategic partner to provide compliance consultation services to advisers and sub-advisers that manage mutual funds and ETFs. Our team can support you with a wide variety of compliance services, including the preparation for board of trustees reporting.
Our team offers comprehensive evaluations, enhancement of internal controls, implementation of technology, and practical compliance solutions. We have extensive experience in the securities industry, with a deep understanding of the complexities and intricacies of an advisory firm’s business. Whether you’re in need of comprehensive compliance solutions or individualized services, we work to meet the unique needs of your business – with solutions that support your firm’s overall compliance efficiency.
Get Customized Mutual Fund Adviser Consulting Services
can help you with:
- Conducting Risk Assessments & Regulatory Reviews
- Comprehensive Policies & Procedures Development
- SEC Examination Support
- 15c Reporting to Board of Trustees
- Reviews of High-Risk Areas (Valuation & Liquidity, Distribution)
- CCO & Compliance Team Mentoring/Training
- And Much More
“Our team is dedicated to delivering quality, innovative, and value-driven consultation services and providing superior customer support.”
Michelle L. Jacko, CSCP, CEO