CORE Compliance Solution is a customized compliance solution designed to assist firms in establishing and implementing their compliance program and support internal CCOs, which includes the following:
- In-depth initial review and consultation;
- Regulatory reporting
- Design of Compliance Policies and Procedures Manual;
- Compliance Policies and Procedures implementation;
- Compliance program and Code of Ethics administration;
- Compliance training; and
- Access to regulatory updates, commentary and support.
This solution may be appropriate for firms that are implementing a new, or upgrading an existing compliance program and plan to retain the CCO role in-house. It can be combined with the CORE Overlay Solution to enhance a firm's compliance structure.