SEC Compliance Consultants & Services We Offer
From complete mock examinations to creating individual service plans, we have you covered.
ANNUAL COMPLIANCE REVIEW
Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.
MOCK SEC EXAMINATION
Review of documentation, interviews with key personnel, on-site examination, overview of findings, and six months unlimited consulting.
NEW ADVISER SETUP
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.
ABOUT FOCUS 1
Webinar: CCO Speaks about Recent SEC Exam
Thursday, June 9, 2016
12pm Eastern / 9am Pacific
Save the date for the first webinar of our new series, “CCO Speaks.”
In this new series, we will conduct live, 1-hour interviews with Chief Compliance Officers about real-world compliance issues and experiences, and you will have the opportunity to ask questions.
Our first interview is with CCO Steven Weiss at Roosevelt Investment Group, which has recently undergone an SEC examination. Find out what Steven wishes he knew before the exam, what went well, and what he would have done differently.
Join us as we discuss the examination experience:
- Sequence and timeline
- Document requests…and requests, and requests
- Management and staff interviews
- Key takeaways from the exam
- What the SEC didn’t ask
- Their strategy for dealing with staff findings
DOL Fiduciary Rule Impact On Investment Advisers Wednesday, May 4 12pm Eastern / 9am Pacific Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict … Read More ›