Core Compliance & Legal Services

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CCLS also will work with your outside counsel upon request. We provide expert witness services, as well as comprehensive compliance training. All client packages are customized to meet your specific needs.

Our goal is to meet the needs of your business with personal consultations and customized solutions. From onsite investment advisory training and risk control programs to hedge fund compliance evaluations and education, CCLS professionals offer independent consultant work, personal training and client packages tailored to your firm.

Ms. Harmon has served the securities industry for over 15 years and has extensive knowledge in hedge fund and investment advisory operations. She serves as CCLS' Chief Operations Officer and is responsible for spearheading the firm's marketing and customer relations area as well as overseeing human resources and accounting administration. As a Compliance Consultant, Ms.

CCLS’s professional consultants and analysts have extensive experience in the practice areas of operational risk management and assessment, P&P development and compliance programs for RIA firms, hedge funds and electronic communications. The CCLS team provides in-depth knowledge and follows industry trends by regularly attending conferences. CCLS consultants are qualified for onsite training and advising.

Core Compliance & Legal Services, Inc. (CCLS) specializes in compliance and risk management for the financial industry. With the securities industry's ever-increasing focus on risk management, CCLS is designed to handle the unique regulatory compliance challenges firms face today. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. That is where our experts come into play. Michelle L.

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