A Moment of Focus: SEC Compliance Webinar & Resources

A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of Focus.” 

Webinar Recording: Key Compliance & Technology Considerations During and After COVID-19

Webinar Recording: 2020 SEC Exam Priorities and Practical Compliance Solutions

SEC Exam Survival Guide 2020

OCIE Exam Priorities 2020

37 SEC Exam Tips


“A Moment of Focus” is a podcast produced and distributed by Focus 1 Associates LLC, (“Focus 1”) an SEC compliance consulting firm.  Focus 1 does not provide tax or legal advice.  Opinions and projections  are as of the date of their first inclusion herein and are subject to change without notice to the viewer/listener.  While the information presented is believed to be from reliable sources, we make no representation as to its completeness or accuracy. This podcast is intended for educational purposes only and should not be construed as advice or a guarantee that you will achieve a desired result.

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