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

Related Services

Advertising and Marketing Reviews
Annual Updating Amendment Filing Services
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
Cybersecurity
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.