If SEC examiners showed up today, what grade would you expect?
As former SEC staff and compliance officers, CORE-CCO team members have collectively conducted, supervised, or facilitated hundreds of SEC examinations and know how to prepare, what to expect, and how to respond far better than most.
In an operational due diligence exercise, how confident are you that your compliance program measures up?
Institutional LPs take due diligence seriously and routinely seek to assess a firm’s compliance program as part of a broader operational due diligence review. Having a professionally designed and administered compliance program allows your firm to demonstrate that standard.