Events | 02-25-25
Join Bates Group at the 2025 IAA Compliance Conference
Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. This annual, in-person program provides investment advisers with the most up-to-date information available on the changing regulatory landscape. The conference features networking with industry peers and a distinguished roster of speakers, including SEC officials, investment adviser industry professionals, and legal experts.
Meet Managing Directors Hank Sanchez and Kurt Wachholz, as well as Senior Consultant Matt Przybylski during the conference to learn about Bates Compliance services for RIAs, including practical insights and best practices that can help you maintain a successful compliance program.
Conference Details and Registration
How Bates Group Helps
The Bates Compliance team of experienced compliance professionals provide comprehensive offerings for Registered Investment Advisers, Broker-Dealers, and dual registrants, as well as Private Fund and Hedge Fund clients, assisting them with program development, risk mitigation, AML, supervision, and internal control functions. Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry best practices to supplement and enhance your compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings. We also assist our clients in forming new Investment Advisory and Broker Dealer firms with the preparation and implementation of their compliance and supervisory programs, as well as the operational infrastructure and required regulatory filings.