Compliance & AML by Entity/Industry

Bates Compliance's team of experienced compliance and AML professionals assist firms with compliance, risk mitigation, supervision, and internal control functions. Follow the links below to learn about Bates Compliance & AML solutions for your company or business.

Registered Investment Advisers (RIA)

Broker-Dealers (BD)

Private Funds (PF)

Exempt Reporting Advisers (ERA)

Banks

Money Services Businesses (MSB) & FinTech

Non-Banking Financial Institutions (NBFI)

Blockchain/Virtual Assets (Cryptocurrency)

Precious Metal Dealers

Go to BD/IA Compliance compliance

Go to MSB, FinTech & Virtual Assets compliance