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, private funds, and hedge 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 compliance services that 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, 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 RIA 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, RIA compliance program or related efforts.

 

Meet Our Team ›

Next Event

Cybersecurity & Business Continuity Integration (Part 3 of 3)

September 16th

In this valuable webinar, you’ll gain insight into:

• Current federal- and state-level regulatory guidance on incident response
• What constitutes a security incident
• How to create an incident response strategy

Speakers:

  • Thomas J. DeMayo, CISSP CIPP/US CPT CEH CHFI MCSE
    Director, IT Audit and Consultant O’Connor Davies
  • Timothy M. Simons, CPA, CFA, CIPM, CSCP, CFP
    Senior Managing Member of FOCUS 1 Associates LLC

When: 9am PT / 12pm ET

Register Now!

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RECENT NEWS

ReTIRE Initiative – OCIE’s June 22nd Risk Alert

ReTIRE Initiative – OCIE’s June 22nd Risk Alert

OCIE, through the National Examination Program (NEP), will conduct examinations of SEC-registered investment advisers and broker-dealers (collectively, “registrants”) under the Retirement-Targeted Industry Reviews and Examinations (“ReTIRE”) Initiative that will focus on certain higher-risk areas of registrants’ sales, investment, and oversight … Read More ›

Proposed Amendments to Form ADV

Proposed Amendments to Form ADV

    The SEC is proposing amendments to Form ADV that are designed to provide additional information regarding advisers, including information about their separately managed account  (SMA) business; incorporating a method for private fund adviser entities operating a single advisory … Read More ›