RIA Compliance Services
From complete mock examinations to creating individual service plans, we have you covered. Pixel lab c4d packs cinema4d download free.
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ANNUAL COMPLIANCE REVIEW
Compliance program development and oversight, forensic testing, educational resources, on-site visit(s), and unlimited consulting.
MOCK SEC EXAMINATION
Money pro 1 9 – manage money like a professor. Review of compliance books and records, interviews with key personnel, on-site examination, overview of findings, and six months unlimited compliance consulting.
NEW RIA SETUP
Filing of ADV Part 1, review of new adviser exam request letter, and development of ADV Part 2, Code of Ethics and Policies and Procedures.
A LA CARTE
Third-Party Compliance Reviews, Forensic Testing, RIA Compliance Training, Policy & Procedure Development, SEC Compliance Consulting, and more.
SEC Compliance Consultants
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Focus 1 Associates LLC specializes in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.
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Our RIA compliance services are built on a quality control process that affords complete confidence in your compliance program.
One of the things that sets us apart is that we don’t charge by the hour. Most of our services include unlimited consulting and tangible tools, such as templates and sample documents to help your firm get a jump start on meeting SEC compliance rules and regulations. Our team of experienced SEC Compliance Consultants is committed to delivering practical, solutions-oriented assistance, such as providing a framework and associated workflow that we help the chief compliance officer put in place to support the firm’s SEC compliance program.
Whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, industry training, or a hands-on practitioner to help you develop, monitor, and/or test your compliance program, you can depend on us as your compliance team.
Welch Hornsby, Inc.
“Welch Hornsby, Inc. initially partnered with Focus 1 for a mock SEC examination. The engagement proved invaluable in strengthening the Firm’s compliance program. This initial experience led Welch Hornsby to continue its partnership with Toby and the Focus 1 compliance team. To date, Focus 1’s accessibility, expertise and proactive guidance have played a key role in further developing the Firm’s compliance program.
Perhaps most importantly, they have become a trusted compliance partner, helping us navigate the ever-changing regulatory environment.”
Ginger B. Glenn, IACCP®
Chief Compliance Officer
Chief Compliance Officer
Next Event
NSCP National Conference 2020
October 19-21, 2020
Baltimore, MD
More Compliance Events ›RIA COMPLIANCE NEWS
Focus Perspective: Paycheck Protection Program (PPP) – Disclosure Considerations
A Moment of Focus – SEC Requests During COVID-19 Outbreak
As we are going through these unprecedented times, we feel it is important to not only continue providing perspective on existing and proposed regulations, but to also stay abreast of other regulatory developments, trends and best practices as they are … Read More ›
OUR SUB-SUBSIDIARIES
FOCUS 1 COMPANY LIMITED, operations follow the object of incorporation and are therefore divided into four namely;
Sales and Distribution:
Involves the sales and distribution of Various Consumer Goods from assorted Manufacturers including; Nestle, Unilever, Voltic and sole dealers for SC Johnson products, Menkish Impex products (all heaven products, Enapa mackerel and assorted product lines). Numbers 3 6 download free. Our current geographical operations are mainly concentrated in the western, Central and Ashanti Regions of Ghana. Plans are far advanced for further expansion to other regional capitals.
Media:
This involves the management of two radio stations. They include; Spice 91.9 Fm (mass market and socially oriented Akan radio station) and Beach 105.5 FM (Targets the middle to the upper class). All stations are stationed in Takoradi (western Region). We undertake general Broadcasting, Advertising and Public Relations, Media Consultancy and Media buying.
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Event Organizing:
Involves the organisation of Product Promotional Events and Programmes, Launching Events, Branding and Re-branding within the country. Our major clients have been Samsung, Tigo Ghana, Marina (Oro products) to mention but a few. Currently, we are the sole event organizer for Menkish Impex (producers of heaven products and its assorted products lines).
Civil, Building and Construction:
We undertake construction of GET FUND Projects, Metropolitan and District Assembly projects, Private and other civil works within western, Central and Ashanti Regions. It is the vision of the construction company to venture in real estates.