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 ConsultingAnnual Compliance ReviewCompliance Program Development, Monitoring, and OversightMock SEC ExaminationThird Party Compliance ReviewNew Adviser SetupCompliance 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.
