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,

Other products and services from Focus 1 Associates

A La Carte Services from Focus 1 Associates thumbnail

A La Carte Services

If you’re looking for assistance within a specific area of compliance, perhaps our A La Carte Services would suit your

Compliance YOUniversity from Focus 1 Associates thumbnail

Compliance YOUniversity

Help your CCO and compliance teams stay abreast of current rules, regulations, and industry best practices through our monthly, one-hour


New Adviser Setup

We take the guess work out of meeting the initial regulatory requirements. Our consultants assist with filing your ADV Part

Mock SEC Examination from Focus 1 Associates thumbnail

Mock SEC Examination

We request and review key documents and identify individuals to interview, prior to going on site. While on-site we conduct