F

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

financial services

Annual Compliance Review

SEC Compliance

New Adviser Setup

Business Continuity Plan

GIPS Compliance for CCOs

13F & 13H Filing

Personal Trading Review

Document Management

Consulting

Mock SEC Examinations

Marketing Materials

Compliance

Third-Party Compliance Review

Compliance Training

ADV Review

2005