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 Group offers Independent Compliance Consultant (“ICC”) services to help firms fulfill those requirements pursuant to SEC enforcement proceedings. Bates 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 Group works with you to create a tailored Compliance Program for your firm, including:

  • Providing recommended, required or mandated procedures, as well as assistance to demonstrate that your compliance program is reasonably designed and effective
  • Reviewing custody arrangements and verification of assets
  • Devising and help implement remediation plans to address issues raised by SEC and other regulators
  • Partnering with other Bates divisions, including our Regulatory and Enforcement Investigations team

Firms may also engage Bates Compliance Group to strengthen their compliance program before a regulatory audit occurs.

Bates Compliance Group 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 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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