RIA Compliance 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 compliance books and records, interviews with key personnel, on-site examination, overview of findings, and six months unlimited compliance consulting.
NEW RIA 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.
SEC Compliance Consultants
Webinar - Chicago Clearing Corporation
October 13, 2016
12pm Eastern / 9am Pacific
Please join Focus 1 for a “Vendor Spotlight” webinar, as we showcase Chicago Clearing Corporation, a highly regarded provider of class action recovery services. In a 30-minute spotlight, Chicago Clearing will:
- Provide an overview of their firm and the services/solutions they provide;
- Highlight recent scenarios where they were able to not only recover assets for an adviser’s clients that may have not otherwise been recovered, but through this complementary offering were able to create efficiencies and help streamline the adviser’s back office operations; and
- Answer any questions our attendees may have about securities class action recovery services.
Focus 1 will also be available to help respond to regulatory-oriented questions concerning an adviser’s obligations pertaining to class actions.More Compliance Events ›
RIA COMPLIANCE NEWS
IM Guidance Update February 2017 Inadvertent Custody: Advisory Contract versus Custodial Contract Authority The U.S. Securities and Exchange Commission’s Division of Investment Management recently released guidance to alert investment advisers that they “may inadvertently have custody of client funds … Read More ›