Compliance Solutions

Bates Compliance Solutions (“BCS”) 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 experts and consultants to help meet their growing compliance obligations and establish best practices.  Bates Group’s Compliance Solutions helps financial service providers meet those obligations.

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Consultants & Experts

Bates Compliance Solutions’ (“BCS”) team of experienced compliance professionals provide comprehensive offerings of compliance programs, reviews and continuing guidance to our broker-dealer and registered investment advisory financial services clients. Our seasoned professionals closely review and test policies and procedures, supervision, and the related practices involved in the matter, recommending changes and best practices to supplement and enhance clients' compliance and supervisory systems, and remediate the results of regulatory action. We also assist our clients forming new BDs and RIAs with the preparation and implementation of their compliance and supervisory programs.

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We Help Reduce Risk and Resolve Matter Outcomes.