Focus 1 Associates - RIA Compliance

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SEC RIA compliance

• http//focus1associates.com/services/

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About Focus 1 Associates

• 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

• http//focus1associates.com/services/

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SERVICES 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.

• http//focus1associates.com/services/

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SERVICES 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.

• http//focus1associates.com/services/

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SERVICES 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

• http//focus1associates.com/services/

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SERVICES 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.

• http//focus1associates.com/services/

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contact

• Focus 1 Associates LLC
• 830 Alder Creek Drive, Suite B
• Medford, Oregon 97504
• TEL [phone]
• FAX [phone]
• toby_at_focus1associates.com
• www.focus1associates.com

• http//focus1associates.com/services/