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Events  |  03-06-24

Meet Bates Compliance at the 2024 IAA Investment Advisor Compliance Conference

Meet Bates Compliance leaders at the 2024 IAA Investment Advisor Compliance Conference, March 6-8, 2024 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 a distinguished roster of speakers, including SEC officials, investment adviser industry professionals, and legal experts. Hear Bates Managing Director Kurt Wachholz (below, L) speak on the "Compliance 101" panel on Thursday, March 7 at 1:00 p.m. This panel will share best practices to execute a proactive and tailored compliance program, including fostering an appropriate tone at the top of the firm, risk management, conflicts of interest, and remediation. Hear also about the SEC Division of Enforcement’s focus on creating a culture of proactive compliance.

Meet Managing Director Hank Sanchez (below, R) 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.

Meet Bates Compliance at the 2024 IAA Investment Advisor Compliance Conference Meet Bates Compliance at the 2024 IAA Investment Advisor Compliance Conference

Conference Details and Registration

How Bates Helps:

The Bates Compliance team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, 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.

Contact us today to learn more.