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 or to perform annual reviews of the firm.

Bates Compliance offers Independent Compliance Consultant (“ICC”) services to help firms fulfill those requirements pursuant to SEC enforcement proceedings. Bates consultants and experts—many of whom are former regulators and CCOs—have good working relationships with the regulators and have been deemed “acceptable” to regulatory staff. Our team is familiar with regulator expectations and is experienced in developing, 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 matters, all in a manner which is conducive to your firms business and operations.

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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