CORE performs regulatory consultations, training and other special projects on a limited basis for select engagements.
CORE principals and team members have conducted and/or overseen hundreds of SEC examinations, evaluating the adequacy and effectiveness of compliance programs for firms of all sizes and complexity. Our principals have conducted compliance training for internal staff and extensive training for industry participants. CORE offers assistance to firms in resolving complex regulatory matters and/or fulfilling regulatory undertakings requiring review of a firm's compliance program.