Focus 1 Associates LLC: SEC Compliance - Annual Compliance Review, Mock SEC Exam
Financial Services - Medford, OR, US
Focus 1 Associates LLC: SEC Compliance - Annual Compliance Review, Mock SEC Exam Employees
Focus 1 Associates LLC: SEC Compliance - Annual Compliance Review, Mock SEC Exam Senior Management
Focus 1 Associates LLC: SEC Compliance - Annual Compliance Review, Mock SEC Exam Details
Focus 1 is a premier provider of regulatory compliance services. Dedicated to assisting registered investment advisers with their compliance needs under the Compliance Rule, Rule 206(4)-7, of the Investment Advisers Act of 1940, Focus 1 specialize in the areas of: -SEC Compliance Consulting-Annual Compliance Review-Compliance Program Development, Monitoring, and Oversight-Mock SEC Examination-Third-Party Compliance Review-New Adviser Setup-Compliance TrainingWith unlimited consulting and tangible tools, our team of experienced professionals is committed to delivering practical, solutions-oriented assistance, tailored to your SEC compliance needs. Whether you are looking for consulting and guidance on industry best practices, interpretation of the rules and regulations, or a practitioner to help you develop your compliance program, we are your SEC compliance team.With the ever-changing regulations and emerging industry best practices, FOCUS 1 understands the importance of providing timely and practical insight to help interpret and implement change within your SEC compliance framework. Providing knowledgeable and practical insight in a timely and efficient manner is the core tenet of our firm. Originally evolving from a CPA firm with a global presence and industry reputation as a leading provider of GIPS compliance and verification services, our team is made up of credentialed professionals (holding the CFA designation, and other professional credentials: CPA, CFP, CSCP, CIPM), with experience in the areas of SEC compliance, GIPS compliance and verification, attestation engagements, third-party compliance reviews, buy-side trading and operations, and leading SAS70 policy and procedure audits.
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