Core Compliance & Legal Services

Core Compliance & Legal Services is a leading provider of outsourced compliance solutions for growth-oriented financial firms, specializing in investment advisers, investment companies, broker-dealers, and private fund managers. With a dedicated team of compliance professionals, they offer a unique process that combines decades of combined in-house and regulatory experience to help clients navigate the complex regulatory landscape and plan for business and regulatory changes.

By understanding the unique business and compliance needs of their clients, Core Compliance provides personalized service and expertise, ensuring peace of mind and mitigating future risks. Their comprehensive range of services includes regulatory filings, registrations, examination assistance, compliance risk management, compliance technology services, advertising marketing reviews, training, mentoring, and annual compliance reviews.

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