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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
SEC Risk Alert: Regarding Fee and Expense Issues
Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers The Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission’s National Exam Program issued a Risk Alert on April 12, … Read More ›
Simons Says: Is the DOL Fiduciary Rule Dead?
Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC March 28, 2018 Is the DOL Fiduciary Rule Dead? The correct answer is, “pretty much.” On March 15, 2018, the Fifth Circuit Court of Appeals, vacated (that means … Read More ›