• About
    • Why Choose Focus 1
    • Our Team
    • Our Firm
    • Our Clients
    • Our Community
    • Careers
  • Services
    • Services Overview
    • Annual RIA Compliance Review
    • Mock SEC Examination
    • New RIA Setup
    • Compliance YOUniversity
    • A La Carte Services
  • Events
  • Connections
  • Portal
  • Blog
  • Podcasts
  • Contact
Focus 1 Associates LLC > RIA Compliance Blog > 2019 > May

Monthly Archives: May 2019

Focus Perspective: Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features

2019/05/29

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

2019/05/29

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 ›

Risk Alert: Safeguarding Customer Records and Information in Network Storage – Use of Third Party Security Features

2019/05/28

Office of Compliance Inspections and Examinations (“OCIE”) On May 23, 2019 OCIE released a risk alert based on identified security risks associated with the storage of electronic customer records in various network storage solutions, including those leveraging cloud-based storage. The … Read More ›

Categories

  • Enforcement Action Highlight
  • RIA Compliance News
  • RIA Compliance Webinars
  • SEC Compliance Examinations
  • SEC Compliance Rules & Regs
  • Simon Says
  • What You Need to Know About SEC Compliance

Recent Posts

  • Focus Perspective: Paycheck Protection Program (PPP) – Disclosure Considerations
  • A Moment of Focus – SEC Requests During COVID-19 Outbreak
  • Focus Perspective: Advertising Rule
  • Focus Perspective: Some Things Just Take Time
  • Focus Perspective: Risk Alerts

Recent Podcasts

  • A Moment of Focus: Form ADV Part 3 (Form CRS) – Ready, Set, Go!
  • A Moment of Focus: SEC Compliance Webinar & Resources
  • A Moment of Focus: Good Faith Certification of Necessity Regarding Paycheck Protection Program (PPP) Loan
  • A Moment of Focus: Paycheck Protection Program (PPP) – Disclosure Considerations
  • A Moment of Focus: RIA Disclosure Implications under the Cares Act (Update)

Archives

  • May 2020
  • March 2020
  • December 2019
  • October 2019
  • September 2019
  • August 2019
  • July 2019
  • June 2019
  • May 2019
  • April 2019
  • March 2019
  • January 2019
  • December 2018
  • November 2018
  • October 2018
  • August 2018
  • July 2018
  • June 2018
  • May 2018
  • April 2018
  • March 2018
  • February 2018
  • January 2018
  • November 2017
  • October 2017
  • September 2017
  • August 2017
  • June 2017
  • May 2017
  • April 2017
  • March 2017
  • February 2017
  • January 2017
  • December 2016
  • November 2016
  • October 2016
  • September 2016
  • August 2016
  • July 2016
  • June 2016
  • May 2016
  • April 2016
  • March 2016
  • February 2016
  • January 2016
  • December 2015
  • November 2015
  • October 2015
  • September 2015
  • August 2015
  • June 2015
  • May 2015
  • March 2015
  • February 2015
  • December 2014
  • November 2014
  • October 2014
  • September 2014
  • August 2014
  • July 2014
  • May 2014
  • April 2014
  • March 2013
  • November 2011

Get Our Compliance News!

  • This field is for validation purposes and should be left unchanged.

©2021 Focus 1 Associates LLC | Privacy Policy | Terms | Careers | Site Map