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
Focus Perspective: Some Things Just Take Time
Background In 1940, Congress passed the Investment Company Act of 1940 (“Act”), to combat abuses in the investment company industry prior to that time. Recognizing the industry would develop and change over time, the Act gave the SEC the power … Read More ›
Focus Perspective: Risk Alerts
Once upon a time, back in the “Olden Days,” when the SEC’s request list was 11 or 12 items listed on a single page, most of our information about the responsibilities of an investment adviser and the SEC’s examination process … Read More ›