Compliance Manual and Code of Ethics Creation and Maintenance

Supervision is and continues to be atop the SEC Exam priorities year after year. A firm should use its policies, procedures, Compliance and Code of Ethics Manuals as the cornerstone of a robust and effective Compliance Program. Having comprehensive policies that are specific to the firm and its operations is vitally important. Many firms purchase generic, one-size fits all policy manuals that create more harm than good. Bates Compliance customizes its Compliance Manuals and Code of Ethics to fit the culture, business, operations and capabilities of your firm.

To have items listed in your manuals that don’t correspond to your firm is one of the findings in so many examinations. When you work with Bates Compliance, we take the time to understand your firm, how your firm operates and create a customized set of procedures that will both represent truly how your firm operates, but also guide your firm in how the process should be followed. Through a series of document reviews and extensive communication with the departments, your Bates Compliance consultant will be able to both capture as well as articulate the true processes of the firm. 

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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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