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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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Best Execution, Soft Dollar, Trade Allocation and Proxy Voting Compliance Reviews

Related Services

Advertising and Marketing Reviews

As-Needed Compliance and Regulatory Consulting

Business Continuity and Succession Planning

State to SEC Transition Filing

SEC Regulation Best Interest and Form CRS

Registered Investment Adviser Services

Broker-Dealer Services

FINRA and SEC Expert Witness Testimony

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.

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