Focus 1 Associates LLC (now part of ACA Group)

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 Training With 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.

网站

https://www.focus1associates.com

Focus 1 Associates LLC (now part of ACA Group)的外部链接

所属行业

商务咨询服务

规模

2-10 人

总部

Medford，OR

类型

合营企业

创立

2005

领域

Annual Compliance Review、Mock SEC Examinations、Third-Party Compliance Review、New Adviser Setup、Compliance Training、Business Continuity Plan、ADV Review、13F & 13H Filing、GIPS Compliance for CCOs、Marketing Materials、Personal Trading Review和SEC Compliance