As-Needed Compliance and Regulatory Consulting

Bates Compliance Group works with advisers on an “As-Needed" basis to to answer questions regarding compliance processes, updates to the firms compliance manuals, or to explain new regulations as they are adopted.  When you engage with Bates Compliance Group, you are provided access to top regulatory experts, former CCOs and regulators who will provide answers you can feel confident with.

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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.

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