Independent Compliance Consultant Services

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.

Bates Compliance works with you to create a tailored Compliance Program for your firm, including:

  • Provide recommended, required or mandated procedures, as well as assistance to demonstrate that your compliance program is reasonably designed and effective.
  • Review custody arrangements and verification of assets
  • Devise and help implement remediation plans to address issues raised by SEC and other regulators.
  • Partner with other Bates divisions, including our Regulatory and Enforcement Investigations team.
Read more: Recently on behalf of over sixteen major national and regional financial institutions, Bates Compliance provided important assistance to firms and their counsel participating in the SEC’s Share Class Selection Disclosure Initiative and related SEC Examinations.
 

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.

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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