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OUR FOCUS.

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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 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 compliance services. 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, 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 compliance program.

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Next Event

AdventConnect 2014

Monday, September 8 – Wednesday, September 10

Las Vegas, NV

Focus 1 – Exhibiting
Liz Cope – Attending
Tim Simons – Presenting

Join us for:

  • Compliance Readiness and 2014 Examination Priorities
  • IT Security to Combat Today’s Cyber Fraud

 

Learn More ›

RECENT NEWS

Compliance Readiness 2014 – Part 2 – The SEC Request List in an Excel Matrix format!

Compliance Readiness 2014 – Part 2 – The SEC Request List in an Excel Matrix format!

From reading Part 1 of our “Compliance Readiness 2014” series, you now should be familiar with the various SEC exam initiatives and focus areas, and from having watched our video series on preparing for an SEC examination (in case you missed it), … Read More ›

Proxy Voting Responsibilities

Proxy Voting Responsibilities

The Division of Investment Management and the Division of Corporation Finance issued a joint Staff Legal Bulletin on June 30, 2014. The Bulletin provides guidance about investment advisers’ responsibilities in voting client proxies and retaining proxy advisory firms. It also … Read More ›