SEC Compliance Consultants - Focus 1 Associates

YOUR COMPLIANCE.
OUR FOCUS.

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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.

A LA CARTE

Third-Party Compliance Reviews, Forensic Testing, RIA Compliance Training, Policy & Procedure Development, SEC Compliance Consulting, and more.

SEC Compliance Consultants

Focus 1 Associates LLC is a premier provider of SEC compliance services and more. We specialize in assisting registered investment advisers and private 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 RIA compliance services that are built on a quality control process that affords complete confidence in your compliance program, 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 SEC 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 compliance program.

 

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Next Event


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.

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RIA COMPLIANCE NEWS

WARNING!! You THINK you don’t have Custody, but…

WARNING!! You THINK you don’t have Custody, but…

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 ›

Custody No-Action Letter

Custody No-Action Letter

    In the No-action letter, the SEC clarifies that the Commission believes that a letter of instruction or other similar asset transfer authorization arrangement established by a client and submitted by an investment adviser to the qualified custodian would … Read More ›