SEC Compliance Consultants - Focus 1 Associates

YOUR COMPLIANCE.
OUR FOCUS.

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SEC Compliance Consultants & Services We Offer

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.
RIA, SEC Compliance - Focus 1
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.

Meet Our Team ›

Next Event

Webinar: Custody Rule Revisited

Wednesday, December 3

12pm Eastern / 9am Pacific

Tim Simons, Senior Managing Member, Focus 1 Associates LLC

Michael Provini, Partner, O’Connor Davies LLP

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RECENT NEWS

Record-Breaking SEC Enforcement Actions in FY2014

Record-Breaking SEC Enforcement Actions in FY2014

Record 755 enforcement actions, covering a wide range of misconduct, vs 686 enforcement actions in FY2013 and 734 enforcement actions in FY2012 Obtained orders totaling $4.16 billion in disgorgement and penalties, vs $3.4 billion in FY2013 and $3.1 billion in … Read More ›

Additional Insight on Code of Ethics Questions

Additional Insight on Code of Ethics Questions

Q: Does Rule 204A-1 require reporting on company sponsored (or not sponsored, such as for a spouse) 401(k) plans if the asset type needs to be reported? To answer your question, first we will step back to the requirements. Rule … Read More ›