03-10-20

Compliance Considerations in an RIA Merger or Acquisition

Mergers and acquisitions of registered investment advisers set new records in 2019, with large-scale RIA moves suggesting a strong appetite for RIA consolidations by private equity. While the case to consolidate in today’s market is strong, failure to address regulatory compliance early on is a mistake that can impact best efforts. In this paper, Bates Compliance looks at the regulatory changes and due diligence considerations impacting the current wave of RIA mergers and acquisitions.

Get White Paper

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group

The Experts Of Bates Group Are Here To Help

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

Expert Search