YOUR COMPLIANCE.
OUR FOCUS.

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SEC Compliance & Related Services

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.

COMPLIANCE YOUNIVERSITY

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

ABOUT FOCUS 1

Focus 1 Associates LLC is a premier provider of regulatory SEC compliance, RIA compliance services and more. We specialize in assisting registered investment advisers with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
Our services are tailored to meet your specific needs and 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, or a hands-on practitioner to help you develop and monitor your compliance program. With unlimited consulting and tangible tools, 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.

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Next Event

FATCA: A Practical Perspective

Thursday, September 25

This 1-hour webinar is presented in conjunction with Hardin Compliance Consulting LLC

12pm EDT / 9am PDT

Register Now - Space is Limited

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RECENT NEWS

Clarification on Common Questions with Your Code of Ethics

Clarification on Common Questions with Your Code of Ethics

As an adviser registered with the SEC, you are required to maintain and enforce a written Code of Ethics in compliance with Rule 204A-1. This is a rule that the SEC takes literally during an examination and is a common … Read More ›

Déjà vu All Over Again

Déjà vu All Over Again

I read something the other day that I want to share, “It will take over 24 million man hours to comply with Dodd-Frank rules per year. It took only 20 million to build the Panama Canal,” according to Rep. Neugebauer, … Read More ›