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,

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

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