Bates Compliance

Bates Compliance is a dedicated team of regulatory and compliance consultants that bring unique and tailored solutions to today’s global financial firms.

Compliance Solutions

In the face of increased regulatory pressures and budget constraints, financial service providers are increasingly looking to independent consultants and experts to help meet their growing compliance obligations and establish best practices within their firm’s compliance program. Bates Compliance helps financial service providers meet those obligations.

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Hank Sanchez, Esq.

Managing Director



David Birnbaum

Managing Director



Steven Engel

Managing Director


Consultants & Experts

Bates Compliance's team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, risk mitigation, AML, supervision, and internal control functions. Bates Compliance can assist you by providing as-needed or ongoing compliance support, conduct reviews and provide guidance on a myriad of compliance matters to meet your regulatory obligations. Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry best practices to supplement and enhance your compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings. We also assist our clients in forming new Investment Advisory and Broker Dealer firms with the preparation and implementation of their compliance and supervisory programs, as well as the operational infrastructure and required regulatory filings.

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We Help Reduce Risk and Resolve Matter Outcomes.