cORE COMPLIANCE SOLUTION

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.