Description

Focus 1 Associates works with investment advisors across the country to provide regulatory RIA and SEC compliance services. Our team of SEC & RIA consultants specialize in annual compliance review, mock SEC examinations, third-party compliance reviews, new adviser setup, compliance training, and A La Carte services or those looking for assistance within a specific area of compliance. Our goal is to provide you with scalable services and practical compliance with expansive knowledge and industry-wide perspective. We have strong background in the areas of SEC compliance, GIPS compliance and verification, attestation engagements, third-party compliance reviews, buy-side trading and operations, and leading SAS 70 (now known as an SSAE 16) policy and procedure audits. We take the time to get to know your business, so as to provide practical and relevant advice that simplifies your compliance efforts while meeting all of your regulatory requirements.




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