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Running a compliant firm affords us the privilege to continue doing amazing work for people we care about.
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The majority of the duties prescribed in the manual are performed by the Chief Compliance Officer (CCO), who will be there for you every step of the way. By utilizing modern compliance workflows, we’ve streamlined this process considerably. The CCO is responsible for ensuring each member has reviewed and understands the policy, and that records are kept to verify such.
Core Planning, LLC (“CP”) is an SEC registered investment adviser located in the State of Missouri. This document describes its policies and procedures.
At a minimum, we will annually review and update these policies and procedures. We may conduct interim reviews in response to significant compliance events, changes in business arrangements, and regulatory developments.
We will maintain copies of all policies and procedures that are in effect or were in effect at any time during the last five years.
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Our mission is to maintain the highest ethical and professional standards for the benefit of the families we serve.
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This manual is only a guide and cannot cover employee and/or supervised person’s conduct in every conceivable situation that may arise in the course of doing business.
In the event of any uncertainty you should ask the Chief Compliance Officer (“CCO”) for advice on compliance with this manual and/or the applicable securities laws.
Throughout this document, the term “CCO” is understood to mean the Chief Compliance Officer or designated representative, as the CCO may delegate the performance of certain compliance responsibilities to other individuals at the firm.