Internal Controls Review

Bates Compliance provides reviews of internal compliance processes. Our expert consultants will review your firm’s manuals, Form ADV, currently used advertising and marketing pieces, books and records as well as other core compliance items. This review is used to check the soundness of the firm’s compliance program and identify any areas of concern. A report of the findings as well as recommended corrective actions will be provided.

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.

Contact Bates Group

Automat:ee