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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.
SEC Compliance Consultants
Welch Hornsby, Inc.
“Welch Hornsby, Inc. initially partnered with Focus 1 for a mock SEC examination. The engagement proved invaluable in strengthening the Firm’s compliance program. This initial experience led Welch Hornsby to continue its partnership with Toby and the Focus 1 compliance team. To date, Focus 1’s accessibility, expertise and proactive guidance have played a key role in further developing the Firm’s compliance program.
Perhaps most importantly, they have become a trusted compliance partner, helping us navigate the ever-changing regulatory environment.”
Ginger B. Glenn, IACCP®
Chief Compliance Officer
RIA COMPLIANCE NEWS
Focus Perspective: A Busy Month
Standard of Conduct for Investment Advisers The SEC continued to receive comments, with most of the later comments (after the cut-off date) from organizations that presumably gathered suggestions from their members and/or constituents: Members of Congress, AARP, NASAA, ABA, and … Read More ›
Follow Up: Proposed Standards of Conduct for BDs and IAs
First, an update on the proposed Standards of Conduct for Broker-Dealers and Investment Advisers. Several thousand comments were received by the announced end of the comment period, and the SEC’s website is reflecting comments received after the comment period closed. … Read More ›