Power Point presentation about RIA compliance. Reference: http://focus1associates.com/services/

1. http://focus1associates.com/services/
SEC & RIA COMPLIANCE

2.  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
ABOUT FOCUS 1 ASSOCIATES
 http://focus1associates.com/services/

3.  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.
SERVICES – ANNUAL RIA COMPLIANCE
REVIEW
 http://focus1associates.com/services/

4.  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.
SERVICES – MOCK SEC EXAMINATION
 http://focus1associates.com/services/

5.  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
SERVICES – NEW ADVISER SETUP
 http://focus1associates.com/services/

6.  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.
SERVICES – COMPLIANCE YOUNIVERSITY
 http://focus1associates.com/services/

7.  Focus 1 Associates LLC
 830 Alder Creek Drive, Suite B
 Medford, Oregon 97504
 TEL: (541) 201-2001
 FAX: (541) 201-2002
 toby@focus1associates.com
 www.focus1associates.com
CONTACT
 http://focus1associates.com/services/