core overlay solution

CORE Overlay Solution is a customized compliance solution designed to enhance established compliance programs and support internal CCOs, which includes the following:

  • Independent annual compliance review;
  • Access to regulatory updates, commentary and support; and
  • Regulatory action support, which includes on-site presence to facilitate and manage regulatory examinations and follow-up and proactive communication with regulators to answer questions and inform policy.

This solution may be appropriate for firms with an internal CCO and existing compliance program, who would benefit from an independent review and assessment of the effectiveness of that program and regulatory support in the event of an SEC exam.