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: Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features
Latest Risk Alert Risk Alerts from the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) are generally a big deal, identifying problems the examination staff have identified in their examinations of registered entities. The latest Risk Alert, “Safeguarding Customer Records … Read More ›
SEC, NASAA and FINRA Issue Senior Safe Act Fact Sheet to Help Promote Greater Reporting of Suspected Senior Financial Exploitation
On May 23, 2019 a fact sheet was released to help raise awareness on the immunity provisions of the Senior Safe Act which was passed one-year ago. The Act protects “covered financial institutions” defined as credit unions, depository institutions, investment … Read More ›