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
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 SEC 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 compliance program.
Webinar - Chicago Clearing Corporation
October 13, 2016
12pm Eastern / 9am Pacific
Please join Focus 1 for a “Vendor Spotlight” webinar, as we showcase Chicago Clearing Corporation, a highly regarded provider of class action recovery services. In a 30-minute spotlight, Chicago Clearing will:
- Provide an overview of their firm and the services/solutions they provide;
- Highlight recent scenarios where they were able to not only recover assets for an adviser’s clients that may have not otherwise been recovered, but through this complementary offering were able to create efficiencies and help streamline the adviser’s back office operations; and
- Answer any questions our attendees may have about securities class action recovery services.
Focus 1 will also be available to help respond to regulatory-oriented questions concerning an adviser’s obligations pertaining to class actions.More Compliance Events ›