Bates News,Industry News - 09-12-17

Part 3 - David Birnbaum on Compliance Audits & Practice Value for FP Transitions’ Roundtable

In this third and final Roundtable Talk with FP Transitions' Marcus Hagood, Bates Managing Director David Birnbaum discusses the impact of compliance on business value, as well as the importance of internal compliance audits to stay ahead of any regulatory issues and correction periods that come with them. (See Part 1 and Part 2.)


Video below courtesy of FP Transitions


Disclaimer: The views and opinions expressed in the video are those of the subjects herein.


FP Transitions is the nation’s leading provider of equity management, valuation and succession planning services for financial advisors. The team of consultants includes financial analysts, legal professionals, and business coaches, working together to provide comprehensive solutions for financial professionals. Based in Portland, Oregon, FP Transitions operates the largest fully-supported open market for buying and selling financial service practices in the U.S.

Bates Compliance Solutions (BCS), a division of Bates Group LLC, is made up of experienced former regulators and compliance professionals, including CAMS-certified individuals who provide world‐class Compliance and Regulatory services and support for new and existing Registered Investment Advisers (RIAs) and hybrid firms. Our comprehensive set of RIA services is tailored to the needs and requirements of each firm, at prices that are more than competitive. BCS services include a myriad of front office, governance, compliance, risk, and internal audit services. The BCS team can tailor an engagement for a discrete need, or as continuous, ongoing advice and support. Visit BCS online for a complete listing of our services.


Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group