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
Focus Perspective: OCIE’s National Examination Program Risk Alert “Observations from Investment Adviser Examinations Relating to Electronic Messaging”
This Risk Alert (December 14, 2018) is to remind advisers of their obligations when they allow personnel to use electronic messaging, and to help advisers improve their systems, policies, and procedures by sharing the staff’s observations with regards to Rules … Read More ›
Kudos to the SEC. Since 2013 when OCIE first identified its examination priorities for the upcoming year, they have been able to identify those priorities in the second fiscal quarter, but for 2019, OCIE identified those priorities on December 20, … Read More ›