Compliance YOUniversity

Compliance YOUniversity from Focus 1 Associates

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

Help your CCO and compliance teams stay abreast of current rules, regulations, and industry best practices through our monthly, one-hour webinars. Our experienced SEC and RIA compliance consultants and faculty members provide unique industry insight on topics relevant to SEC, state, and/or GIPS compliance.

Keywords: 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


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

Annual Compliance Review from Focus 1 Associates thumbnail

Annual Compliance Review

Along with your Chief Compliance Officer (CCO), our team of SEC and RIA compliance consultants evaluates and monitors your firm’s