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.
ABOUT FOCUS 1
DOL Fiduciary Rule Impact On Investment Advisers Wednesday, May 4 12pm Eastern / 9am Pacific Focus 1 Associates and Hardin Compliance Consulting present a COMPLIMENTARY webinar covering what investment advisers need to know about DOL’s new “Conflict … Read More ›