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Focus 1 Associates LLC: SEC Compliance - Annual Compliance Review, Mock SEC Exam

2 employees

Focus 1 Associates specializes in SEC compliance reviews, document management, consulting and regulatory reviews.

Basic info

Industry

financial services

Sectors

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

Date founded

2005

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