Focus 1 Associates - RIA Compliance

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SEC & RIA COMPLIANCE

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http://focus1associates.com/se rvices  

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Focus 1 Associates LLC is a premier provider of regulatory compliance services. Dedicated to assisting registered investment advisers with their

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compliance needs under Rule !"#$%&' of t he (nvestment Advisers Act of 1)$!* we speciali+e in the areas of:



 

Annual Compliance Review

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  ,oc- C 0aminations Marketing   hird&2arty hird&2 arty Compliance Reviews Personalization   3ew Adviser etup Analytics   Complia nce raining Save

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http://focus1associates.com/ services

R(C ; A336AL R(C A336 AL R(A C5,2L(A3C R(< Annual RIA Complianc Compliance e Review  Review   2rovi 2rovide de your the tools and consulting needed to complete and document a ro7ust Annual R(A 

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Compliance Review Review that satis8 es the re9uirements of Rule !"#$%&' of the (nvestment Advisers Act of 1)$! and industry 7est practices.

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http://focus1associates.com / http://focus1associates.com/ services

R(C R (C ; ,5C> C ?A,(3A(53 Mock SEC Examination  Conduct a moc- C e0amination on your 8 rm 7ased on the most current current C re9uest re9uest list. <e will perform 

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an initial review and analysis of the initial information provided 7y your 8 rm in order to select samples* re9uest additional information* and identify individuals to interview while on site. his initial preparation will allow us to ma-e ma-e more e= cient use

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of the time spent in your o= ce reviewing 7oo-s and records. Marketing Personalization Analytics Save

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R(C R (C ; 3< 3 < AD(R 62 New Adviser Setup  <or- with your compliance/manageme nt team to provide assistance with the following: 

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AD 2arts 2arts 1 @ A 8 ling AD 2arts A and 4 development Code of thics development 2olicies and 2rocedures development

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http://focus1associates.com / http://focus1associates.com/ services

R(C R (C ; C5,2L(A3C C5,2 L(A3C  B56  B5 63(R(B Compliance O!niversit"  ,onthly we7inar that provides training on rules* regulations* and industry 7est practices. <e provide provide 

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uni9ue industry&wide regulatory insight related to C #covering 7oth the (nvestmen t Adviser Act and (nvestment Company Act%* state and/or (2 compliance.

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Focus 1 Associates LLC



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,edford* 5regon )'E!$     L: #E$1% !1&!!1 FA?: #E$1% !1&!!  to7yfocus1associates.com

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