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 Compliance Solutions helps financial service providers meet those obligations.

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Robert Lavigne
Managing Director, Bates Compliance Solutions

Consultants & Experts

The BCS team of experienced compliance professionals provide comprehensive offerings for broker-dealer and registered investment adviser clients, assisting them with supervision, compliance, risk, AML, and internal audit functions. BCS can assist you by performing as-needed or ongoing reviews and guidance to meet your regulatory compliance 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 standards to supplement and enhance clients' compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings and decisions. We also assist our clients forming new BDs and RIAs 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.