Industry Links
CFA Institute
The CFA Institute is an international, not-for-profit organization that sets global standards for ethics, education and professional excellence for the investment community.
Focus 1 Associates
Focus 1 Associates is an SEC compliance consulting firm that assists investment advisors with their compliance needs under Rule 206(4)-7 of the Investment Advisers Act of 1940. Their services also include Mock SEC Examinations, Compliance Training, Third-Party Compliance Reviews, and New Adviser Set-up. Additional testing, reviews and consulting can be completed by FOCUS 1’s team on an a-la-carte basis, and rolled into whichever service may best fit your needs, or it can be a one-time engagement.
Securities and Exchange CommissionThe mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Investment Management Consultants AssociationThe IMCA keeps its members in touch with developments in investment strategies, legal and regulatory issues, economic news, and marketing techniques.
The National Society of Compliance ProfessionalsThe National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance officials in the securities industry.