CORE Services

CORE provides a full selection of compliance services ranging from comprehensive turn-key compliance administration to more limited compliance support. We recognize that each firm is different and has unique compliance needs, and we do not rely on a one-size-fits all compliance solution or off-the-shelf products but rather work together with each client to develop a customized approach to best fit their needs.


CORE utilizes sound technology systems, and has developed proprietary processes, tools, and training, which are tailored to provide a compliance solution that is optimal for each client. We design a customized package of services for each client based on the needs of the client, and consider the size and type of the firm’s business, registration status, culture and preferences. Our services may include each of the following or others as designed to fit the specific needs of clients:


•        Initial Registration & ERA Filings

•        Regulatory Reporting

•        Regulatory Consultation

•        Regulatory Exam Support

•        Compliance Program Design & Implementation

•        Compliance Manual Review & Updates

•        Compliance Program & Code of Ethics Administration

•        Compliance Training & Regulatory Updates

•        Annual Compliance Reviews

•        Compliance Monitoring via Compliance Monitoring Software


We invite prospective clients to call us and schedule an in-person meeting to discuss your compliance needs and better understand the specific services we can provide to help you fulfill your compliance responsibilities and ensure an effective compliance program.