Bates News | 12-14-21
Hank Sanchez on Top Compliance Issues for 2022 - Consultant’s Corner Video
Bates Compliance Managing Director Henry “Hank” Sanchez, Esq., talks with Carlos Guillen from BasisCode Compliance about what you should consider when outsourcing compliance programs and also discusses key technology compliance solutions and the new trends we will see in 2022.
Bates Compliance delivers guidance and tailored compliance consulting solutions to our BD, IA 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.