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
Timothy M. Simons, CFA, CIPM, CSCP Member Focus 1 Associates LLC February 27, 2018 SEC FY2018 Examination Priorities! On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) released the much anticipated FY2018 National Exam Program … Read More ›
The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its 2018 examination priorities on February 7, 2018. The priorities are broken down into five categories: The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations … Read More ›