Compliance Solutions

Registered Investment Advisers

Bates Compliance Group provides world‐class Compliance and Regulatory consulting services and support for new and existing Registered Investment Advisers (RIAs). 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 advisory firm, the dedicated and experienced professionals at Bates Compliance Group 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 consulting team 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 Services are Different


Our Services

  • Advertising and Marketing Reviews
  • Annual Amendment and Regulatory Filings
  • Annual Reviews – Rule 206(4)-7
  • As-Needed Compliance and Regulatory Consulting
  • Best Execution, Soft Dollar, Trade Allocation and Proxy Voting Compliance Reviews
  • Business Continuity and Succession Planning
  • Compliance Audit and Review Services
  • Compliance Manual and Code of Ethics Creation and Maintenance
  • Compliance Outsourcing Services
  • Compliance Program Review, Design and Development
  • General Compliance Consulting Services
  • Guidance on Acquiring/Merging of Existing RIAs
  • Independent Compliance Consultant Services
  • Interim CCO Outsourcing Services
  • Internal Controls Review
  • Investment Adviser Registration Services
  • Mock SEC Review/SEC Preparatory Review
  • Regulation Best Interest (Reg BI)
  • Regulatory Examination Preparatory and Corrective Action Reviews (CARs)
  • Risk Assessments/Gap Analysis Reviews
  • Senior and Vulnerable Investor Reviews (BIRA)
  • State to SEC Transition Filing

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