es/ SEC & RIA COMPLIANCE.

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Presentation transcript:

es/ SEC & RIA COMPLIANCE

 Focus 1 Associates LLC is a premier provider of regulatory compliance services. Dedicated to assisting registered investment advisers with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940, we specialize in the areas of:  Annual Compliance Review  Mock SEC Examinations  Third-Party Compliance Reviews  New Adviser Setup  Compliance Training ABOUT FOCUS 1 ASSOCIATES  vices/ vices/

 Annual RIA Compliance Review Annual RIA Compliance Review  Provide your the tools and consulting needed to complete and document a robust Annual RIA Compliance Review that satisfies the requirements of Rule 206(4)-7 of the Investment Advisers Act of 1940 and industry best practices. SERVICES – ANNUAL RIA COMPLIANCE REVIEW  vices/ vices/

 Mock SEC Examination Mock SEC Examination  Conduct a mock SEC examination on your firm based on the most current SEC request list. We will perform an initial review and analysis of the initial information provided by your firm in order to select samples, request additional information, and identify individuals to interview while on site. This initial preparation will allow us to make more efficient use of the time spent in your office reviewing books and records. SERVICES – MOCK SEC EXAMINATION  vices/ vices/

 New Adviser Setup New Adviser Setup  Work with your compliance/management team to provide assistance with the following:  - ADV Parts 1 & 2A filing  - ADV Parts 2A and 2B development  - Code of Ethics development  - Policies and Procedures development  - New Adviser Examination Request Letter review SERVICES – NEW ADVISER SETUP  vices/ vices/

 Compliance YOUniversity Compliance YOUniversity  Monthly webinar that provides training on rules, regulations, and industry best practices. We provide unique industry-wide regulatory insight related to SEC (covering both the Investment Adviser Act and Investment Company Act), state and/or GIPS compliance. SERVICES – COMPLIANCE YOUNIVERSITY  vices/ vices/

 Focus 1 Associates LLC  830 Alder Creek Drive, Suite B  Medford, Oregon  TEL: (541)  FAX: (541)   CONTACT  vices/ vices/