Bates News  |  07-19-21

Bates in the News: Hank Sanchez Quoted in ThinkAdvisor article

Bates Compliance Managing Director Hank Sanchez was recently quoted in a ThinkAdvisor article concerning the current shift in IA fee tructures and business models. The new article explores the trend caused by the current regulatory environment and advisors' ability to leverage more technology to serve clients better.

Read the Full Article from ThinkAdvisor

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Bates Compliance delivers guidance and tailored compliance consulting solutions to our broker-dealer, investment adviser and hybrid firm clients on an as-needed or ongoing basis. Our team—made up of experienced senior compliance, legal and former regulatory professionals—drafts and tests policies, procedures, and supervisory and compliance processes, recommending and implementing changes based on leading practices to enhance compliance and supervisory systems and to remediate regulatory, litigation and internal audit findings.


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