YOUR COMPLIANCE.
OUR FOCUS.
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
Risk Alert: Investment Adviser Compliance Issues Related to the Cash Solicitation Rule
The SEC issued a Risk Alert on October 31, 2018 to provide investment advisers, investors and other market participants with information concerning the most common deficiencies related to the Cash Solicitation Rule. The alert discusses the requirements for using a … Read More ›
Focus Perspective: Examination Goals & More
Examination Goals Fiscal year 2018 is over, and 2019 has begun. We don’t know if the SEC’s examination staff has met the goal of 2,120 examinations of registered investment advisers (“RIAs”) or not, roughly 15% of the number of SEC … Read More ›