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
On October 14, 2015, Buddy Donohue, a former Director of the SEC’s Division of Investment Management (the SEC Office that develops Rules for Investment Advisers and Investment Companies), and currently the SEC’s Chief of Staff (the senior adviser to Chair … Read More ›
Historically, Focus 1’s compliance training efforts were centered on an adviser and its CCO’s responsibility of designing and implementing an effective compliance program. As per the Compliance Rule, “An adviser’s chief compliance officer should be competent and knowledgeable regarding … Read More ›