Bates Compliance Solutions (BCS), a division of Bates Group LLC, provides world‐class Compliance and Regulatory services and support for new and existing Registered Investment Advisers (RIAs). Our comprehensive set of RIA services is tailored to the needs and requirements of each firm. Whether it is an acquisition of an existing RIA or an initial registration of a new RIA firm, your dedicated and experienced professionals at Bates will assist in developing and maintaining compliance programs, at prices that are more than competitive.
For new RIAs, BCS understands the time‐consuming steps necessary for an Initial Registration and completes them for you. BCS Initial Registration services include:
BCS Prepares and Uploads the Following Forms & Schedules to the IARD System:
Written Supervisory Procedures
Customized Forms and Checklists Include (but are not limited to):
If the RIA is an SEC‐registered firm, BCS may prepare and file the 120‐day amendment filing, if applicable. In addition, BCS will set out a list of compliance files and reports that help each RIA comply with its regulatory and compliance responsibilities.
BCS understands the risks associated with the acquisition of an existing RIA, together with the need to comply with ongoing regulatory and compliance obligations, and the risks of unknown violations and litigations that may surface post-deal closing. When looking to acquire or affiliate with an existing RIA, BCS performs the following services to provide a smooth transition:
BCS also offers various levels of ongoing support which can be tailored to the needs of each RIA.
BCS Ongoing Support includes:
Keeping the RIA up‐to‐date on Rules and Regulations is a crucial part of maintaining an intact compliance culture. BCS RIA Alerts provide firms with keen insights on what is changing and what they can do to stay in compliance.
Examples of Bates Group‘s Capabilities