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.
Bates Compliance is a dedicated team of regulatory and compliance consultants that bring unique and tailored solutions to today’s global financial firms.
Comprehensive Registered Investment Adviser Firm Compliance and Regulatory Consulting Services from an Industry Leader
Protecting Seniors and other Vulnerable Investors
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.
Contact Bates Group
Managing Director
hsanchez@batesgroup.com
Managing Director
lshirkey@batesgroup.com
Managing Director
dbirnbaum@batesgroup.com
Managing Director
sengel@batesgroup.com
Director
jehret@batesgroup.com
Director, Business Development
roconnor@batesgroup.com
Senior Consultant
kkeister@batesgroup.com
Senior Consultant
jsullivan@batesgroup.com
Consultant
sdragon@batesgroup.com
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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