Annual Compliance Review

Annual Compliance Review from Focus 1 Associates

By: Focus 1 Associates  10/21/2014
Keywords: Financial Services, Business Services, Sec Compliance Consultants

Along with your Chief Compliance Officer (CCO), our team of SEC and RIA compliance consultants evaluates and monitors your firm’s annual compliance review on an ongoing, quarterly basis. We assist your CCO in maintaining an effective Compliance Program, which serves as documentation of your firm’s compliance controls and areas monitored to assist your CCO in conducting the annual review required by Rule 206(4)-7 of the Investment Advisers Act of 1940.

Keywords: Annual Compliance Review, Business Services, Financial Services, RIA consultants, Sec Compliance Consultants,

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