SEC Compliance Consultants - Focus 1 Associates


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SEC Compliance Consultants & Services We Offer

From complete mock examinations to creating individual service plans, we have you covered.


Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.


Review of documentation, interviews with key personnel, on-site examination, overview of findings, and six months unlimited consulting.


Filing of ADV Part 1, review of new adviser exam request letter, and development of ADV Part 2, Code of Ethics and Policies and Procedures.


Monthly webinar trainings on rules, regulations, and industry best practices related to SEC, state, and/or GIPS compliance.


Focus 1 Associates LLC is a premier provider of regulatory SEC compliance, RIA compliance services and more. We specialize in assisting registered investment advisers, private funds, and hedge funds with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
RIA, SEC Compliance - Focus 1
Our services are designed to be practical solutions that are tailored to meet your specific needs.  We offer expert compliance services that are built on a quality control process that affords complete confidence in your compliance program (for SEC compliance or otherwise), whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, monitor, and/or test your compliance program. One of the things that sets us apart is that we don’t charge by the hour. Most of our services include unlimited consulting and tangible tools, such as templates and sample documents to help your firm get a jump start on meeting RIA compliance rules and regulations. Our team of experienced professionals is committed to delivering practical, solutions-oriented assistance, such as providing a framework and associated workflow that we help the chief compliance officer put in place to support the firm’s SEC, RIA compliance program or related efforts.


Meet Our Team ›

Next Event

Roundtable - Custody Rule & Compliance Readiness for Private Funds

Tuesday, July 12, 2016

PKF O’Connor Davies Knowledge Share

Please join Michael Provini, CPA, Partner, PKF O’Connor Davies, LLP – Financial Services, and Tim Simons, CFA, CFP, CSCP, CIPM, Sr. Managing Member – Focus1 Associates LLC, for a complimentary roundtable presentation that will cover how private funds can meet SEC compliance requirements and address The SEC Custody Rule.

The Custody Rule Revisited:

  • Definition of custody as it has changed over time;
  • Concerns expressed by the SEC over compliance with The Custody Rule;
  • Requirements;
  • Possible exemptions; and
  • Answers to frequently asked questions.

Compliance Readiness:  What the SEC is Looking For

  • A look at this year’s exam priorities, including:
  • – Matters of importance to retail investors,
    – Assessing issues related to market-wide risks, and
    – Analyzing data to identify and examine registrants that may be engaged in illegal activity
  • Tips on how best to prepare for an exam;
  • The presence exam, including an overview for the private fund adviser; and
  • The exit interview and thereafter.

Offered Twice:
8:30 am – 10:30 am
4:30 pm – 6:30 pm

PKF O’Connor Davies, LLP
665 Fifth Avenue, 7th Floor
(Entrance on 53rd between 5th & Madison)
New York, NY 10022

Seating is limited.  To register at either time for this complimentary presentation, please contact Eric Gelb, CPA at 914.341.7049.

2 CPE Credits in Specialized Knowledge.  No prerequisites or advanced planning required. Program Level: Intermediate / Delivery Method:  Group-Live.


Who Should Attend:

This interactive workshop is designed for Chief Compliance Officers; Chief Financial Officers; Chief Information Officers; Chief Technology Officers; General Counsel, and other Compliance Professionals.


Benefits of Attending:

  • Understand how to meet SEC compliance rules and regulations;
  • Understand how to prepare for an SEC exam;
  • Learn the workings of The SEC Custody Rule and potential exemptions;
  • Share knowledge in an informal setting; and,
  • Networking opportunity.



Learn More ›


Pay to Play Rules in 2016 Election

Pay to Play Rules in 2016 Election

    Linda F. Beckmann Managing Member August 22, 2016 As Mike Pence is currently Governor of Indiana and has authority over the Indiana Public Retirement System and the Indiana Education Savings Authority, contributions to the Trump campaign may violate … Read More ›

Simons Says: Really? Updating the Investment Advisers Act of 1940?

Simons Says: Really? Updating the Investment Advisers Act of 1940?

Timothy M. Simons, CFA, CFP, CIPM, CSCP Senior Managing Member Focus 1 Associates LLC July 28, 2016     On June 9, a bipartisan group of legislators in the House of Representatives introduced the Investment Advisers Modernization Act of 2016, … Read More ›