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Podcasts

Political Contributions by Certain Investment Advisers

  • October 16, 2020
  • Krista Clear Podcast
Imagine compliance being clear. Krista Clear! Intent-rich learning objectives in bite-sized pieces served up just in time, when you have a hankering to learn (or refresh on) something, do...
Continue Reading

Cyber Roundup – September 2020

  • September 30, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

Cyber Roundup – August 2020

  • August 28, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

Definition of a Reportable Security

  • August 10, 2020
  • Krista Clear Podcast
Imagine compliance being clear. Krista Clear! Intent-rich learning objectives in bite-sized pieces served up just in time, when you have a hankering to learn (or refresh on) something, do...
Continue Reading

Teleworking/Cybersecurity Considerations

  • August 10, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

Definition of Supervised Person and Access Person

  • July 23, 2020
  • Krista Clear Podcast
Imagine compliance being clear. Krista Clear! Intent-rich learning objectives in bite-sized pieces served up just in time, when you have a hankering to learn (or refresh on) something, do...
Continue Reading

Form CRS – Filed! Now what?

  • July 15, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

Form ADV Part 3 (Form CRS) – Ready, Set, Go!

  • June 25, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

SEC Compliance Webinar & Resources

  • June 24, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

Good Faith Certification of Necessity Regarding Paycheck Protection Program (PPP) Loan

  • June 24, 2020
  • A Moment of Focus Podcast
A brief “heads up” from Focus 1 on SEC compliance matters we believe to be timely and relevant.  Brought to you by Caleb Diaz, the host of “A Moment of...
Continue Reading

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Focus 1 Associates

Categories

  • A Moment of Focus Podcast (19)
  • Krista Clear Podcast (6)

Recent Posts

Cyber Roundup – A Year in Review December 28, 2021
New Fiduciary Advice Exemption: PTE 2020-02 June 17, 2021
Cyber Roundup – May 2021 May 5, 2021
CCO Speaks 2021: Experts Answer Your Questions About the SEC Exam April 9, 2021
Form ADV – Ready, Set, File! March 4, 2021
Dash7 is a service offered by Focus 1 Associates ("Focus 1"), an SEC compliance consulting firm. Focus 1 specializes in assisting registered investment advisers—institutional, wealth advisers, family offices, and advisers to private funds—with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940.

Latest Posts

Cyber Roundup – A Year in Review December 28, 2021
New Fiduciary Advice Exemption: PTE 2020-02 June 17, 2021
Cyber Roundup – May 2021 May 5, 2021

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