Bates News, Compliance and Regulatory Alerts | 01-06-20
Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.
(L - Linda Shirkey, R - Shelley Dragon)
Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Texas. The acquisition further expands Bates Group’s compliance division, Bates Compliance, with greater access and resources to service Registered Investment Advisers (RIAs), as well as private equity and hedge fund firms across the United States.
Veteran compliance leader and TARI Founder & President Linda Shirkey will join Bates Group, along with Shelley Dragon, TARI’s director of client service. They will continue to serve TARI’s account base as well as other Bates clients across the United States as members of the Bates Compliance team. Shirkey and Dragon are both based in Houston, TX.
“We welcome Linda, Shelley, and the TARI clients to Bates,” said Benjamin Pappas, Bates Group President. “TARI is nationally recognized for its deep regulatory compliance expertise. With the addition of TARI, we are immediately expanding our expertise and ability to provide industry-leading regulatory compliance services in Texas, throughout the South, and nationwide.”
Ms. Shirkey noted that the acquisition of TARI by Bates Group benefits TARI clients because of the “direct match in ethics, values, and strong client focus” between Bates and TARI. “I am very excited about the deep and expanded capabilities that Bates Compliance brings to our clients,” she said.
The Bates Compliance team of senior compliance staff and former regulators bring tailored regulatory compliance services, guidance, and expertise to financial services clients on an as-needed or ongoing basis to meet the evolving requirements and practices of today’s global financial services industry. Bates Compliance provides a wide range of support to financial institutions of all sizes, structures, and business models, and works with its clients to review, test, and bolster their compliance programs. Bates Compliance provides and implements solutions based on regulatory requirements and industry-accepted best practices designed to supplement and enhance compliance and supervisory systems, and remediate the results of regulatory and internal audit findings.
Bates Group (www.batesgroup.com) has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a Best Securities Litigation Consulting Firm by readers of the New York Law Journal and an NYLJ Hall of Fame service provider, Bates Group provides solutions throughout the lifecycle of legal, regulatory, and compliance matters. With a roster of over 200 financial industry and regulatory compliance experts, Bates offers services in litigation consultation and testimony, regulatory enforcement and internal investigations, compliance solutions, AML and financial crimes, forensic accounting, damages, and big data consulting.