From time to time, firms may be required by regulators to hire an Independent Compliance Consultant to review and test policies and procedures, and to make recommendations to improve their compliance program.
Bates Compliance offers Independent Compliance Consultant (“ICC”) services to help firms fulfill those requirements pursuant to SEC enforcement proceedings. Bates Compliance consultants and experts—many who are former regulators and CCOs—have good relationships with regulators and have been deemed “acceptable” to regulatory staff. Our team is familiar with regulator expectations and is experienced in reviewing and testing policies, procedures, supervisory and compliance processes. We'll recommend changes and best practices to enhance compliance and supervisory systems where there are gaps, and work with firms to remediate the findings from regulatory and litigation matters.
Firms may also engage Bates Compliance services to strengthen their compliance program before a regulatory audit occurs.
Bates Compliance is able to provide comprehensive compliance support or assist you with one-off projects as needed. Contact Bates today and let us show you the Bates Group difference.
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