Mock SEC Examination

Mock SEC Examination from Focus 1 Associates

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

We request and review key documents and identify individuals to interview, prior to going on site. While on-site we conduct the examination, interview key individuals, identify deficiencies, and provide an overview of our findings during an exit interview. Following the exam, you will receive unlimited consulting for six (6) months to assist in the implementation of our suggestions.

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

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