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.
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
On April 18, Chairman Clayton addressed an open meeting of the Commission on standards of conduct for broker-dealers and investment advisers. The Chairman outlined the objectives as three-fold: “First, enhance retail investor protection and decision making by: Raising the standard … Read More ›
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 ›