Improving your firm’s compliance program is our number-one priority. We offer tailored services and individual and team advising for ongoing and discrete project success.
Practice Overview
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.
Services
At Bates, our priority is to support your current and future compliance challenges by providing expert insight backed by decades of experience.
We protect your internal team from liability by proactively working with you to improve your compliance to mitigate potential future scrutiny.
Bates Compliance allows you to focus on your business by providing cost-effective compliance support to help you meet growing compliance obligations.