Compliance Solutions

Registered Investment Advisers

Bates Compliance provides world‐class Compliance and Regulatory consulting services and support for new and existing Registered Investment Advisers. Our comprehensive set of services is tailored to the needs and requirements of each firm. Whether it is an acquisition of an existing advisory firm or an initial registration of a new firm, the dedicated and experienced professionals at Bates Compliance can assist you at every step along the way.

Using our individual and team advising approach, our staff of senior compliance professionals, former CCOs and regulators, along with our roster of over 165 individual industry and subject matter experts, work with you to deliver tailored services and solutions to meet your current and ongoing compliance needs, to provide a cohesive, all-encompassing client experience.

Learn More: Why Bates Compliance is Different


Our Services

Keeping investment advisers up‐to‐date on Rules and Regulations is a crucial part of maintaining a robust compliance culture. Bates Compliance and Regulatory Alerts and Updates provide firms with keen insights on what is changing and what they can do to stay compliant.

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