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
Next Event
SS&C Advent Conference
September 12-14
Las Vegas, NV
Tim Simons, CFA, CIPM, CSCP, CFP® and Toby Cochran, IACCP® will both be attending. We look forward to seeing you there!
More Compliance Events ›RIA COMPLIANCE NEWS
The SEC’s Four-Year Goals
On June 19, 2018, the SEC published a draft strategic plan for comment that outlined the Commission’s goals for the next four fiscal years, 2018 through 2022, and asked the public for comments on those goals. The core principles that … Read More ›
Focus 1 Associates Increases its Presence in Prominent Southern California Investment Adviser Market
Krista S. Zipfel Director Focus 1 Associates LLC July 19, 2018 The sale of Advisor Solutions Group’s key assets adds Krista Zipfel, CFA to Focus 1’s senior leadership team … Read More ›