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
Focus 1 is the first (and often only) place I turn to for help with our compliance needs. As a compliance officer who wears multiple hats, having a trusted partner like Focus 1 gives me the confidence I need to navigate the ever changing and increasingly challenging compliance landscape. Their practical and timely advice helps me to stay on top of the latest developments and best practices, and their flexible tools and solutions are tailored to meet our needs.
Scott M. Bilyeu
Chief Financial Officer, Chief Operating Officer, and Chief Compliance Officer
Triangle Peak Partners, LP
RIA COMPLIANCE NEWS
The Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) issued a Risk Alert on May 17, 2017 related to the widespread ransomware attack known as WannaCry. Firms are encouraged to (1) review the … Read More ›
The U.S. Department of Labor has announced a 60-day extension of the applicability dates (now effective June 9, 2017 rather than the original date of April 10, 2017) of the fiduciary rule and related exemptions, including the Best Interest Contract Exemption. The purpose of … Read More ›