SEC Compliance Consultants - Focus 1 Associates

YOUR COMPLIANCE.
OUR FOCUS.

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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.

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.

A LA CARTE

Third-Party Compliance Reviews, Forensic Testing, RIA Compliance Training, Policy & Procedure Development, SEC Compliance Consulting, and more.

SEC Compliance Consultants

Focus 1 Associates LLC specializes in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
RIA, SEC Compliance - Focus 1
Our RIA compliance services are built on a quality control process that affords complete confidence in your compliance program.
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 SEC Compliance Consultants 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.
Whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, monitor, and/or test your compliance program, you can depend on us as your compliance team.

 

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

 

Meet Our Team ›

Next Event


NRS Fall 2019 Compliance Conference

Oct 15 - 18, 2019

Huntington Beach, CA

More Compliance Events ›

RIA COMPLIANCE NEWS

Focus Perspective: Proxy Voting Responsibilities of Investment Advisers

Focus Perspective: Proxy Voting Responsibilities of Investment Advisers

On August 21, 2019 the SEC released, “Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers.” This is the first time, in my memory, that the SEC has provided this much clarification on this issue. “The guidance discusses, among other … Read More ›

Focus Perspective: Déjà vu all over again

Focus Perspective: Déjà vu all over again

There we were, last week on July 22, talking about disciplinary history policy, and OCIE’s September 12, 2016 Risk Alert, “Examinations of Supervision Practices at Registered Investment Advisers.” Was the SEC spying on us? Has our email been hacked by … Read More ›