Bates News  |  11-01-21

Bates Compliance Director Rory O’Connor Quoted in ThinkAdvisor Article on the Surge in State-to-SEC Registrations

Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations. In the article, Mr. O'Connor comments on what is fueling this recent rise in transitions, noting that Bates has “been trying to raise the red flag that [RIAs] have a tremendous amount of work ahead” of them when switching to SEC registration.

Read the Full Article from ThinkAdvisor

To learn more about Bates Compliance, please visit our compliance practice page here.


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