CMS Independent Reviews

Who We Help

We help financial institutions and fintech companies that need an objective assessment of their compliance management systems. 

What We Do

We perform independent reviews of governance, policies, procedures, monitoring, testing, complaint management, training, and oversight practices. 

When Do Clients Call Bates Group

Clients call Bates Group when preparing for regulatory, internal, or partner-driven scrutiny of their compliance management framework. 

How Clients Use Bates Group

Clients use Bates Group to identify control gaps, validate compliance program effectiveness, and strengthen consumer compliance structures. 

Our Approach

Our approach delivers objective, practical insights that help organizations enhance compliance governance and improve overall control effectiveness.

Bates Group provides practical compliance advisory support tailored to the institution’s risk profile, business model, and stage of growth. Our team works with banks, fintechs, money services businesses, non-bank financial institutions, and digital asset companies on both strategic and execution-focused engagements.