Registered Investment Advisers-SEO test

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.

Our Services for Registered Investment Adviser Firms

Our Services

Advertising and Marketing Reviews

As your use of marketing material increases and your business grows, you can count on greater regulatory scrutiny. Being able to rely on an outside expert to provide oversight and guidance reduces your firm’s risks while still taking a holistic look at the materials from a business perspective as well. Bates Compliance’s professionals have the regulatory expertise, as well as, the business approach to provide insightful reviews of all types of marketing materials, including blog posts, presentation PowerPoints and client newsletters, as well as, general product and services advertising.

Annual Amendment and Regulatory Filings

Let Bates Compliance ensure the accurate and timely filing of your firm’s Annual Updating Amendment (AUA). 

All firms are required to file their AUA within 90 days of their fiscal year end, but, prior to filing, the firms must fund their IARD account for all state and representative renewal fees. 

Bates Compliance offers two services to assist firms with this filing. The first is our Annual Updating Amendment Filing, where a Bates Compliance consultant will work with your firm to review the items required for the update, organize the information and file it on your behalf. 

The second service, Annual Amendment and Review Service, also completes the Annual Updating Amendment filing, but will also review the firm’s client base to confirm the adviser is registered in all required states, and that the firm isn’t paying renewal fees in any state where it is below the state’s de minimis client exemption, as well as provide you with a copy of the firm’s renewal statement to confirm accurate and timely funding of your IARD account. 

Whatever your needs, Bates Compliance will work with you to ensure your firm’s Annual Updating Amending filing is complete and filed on time.

Annual Reviews – Rule 206(4)-7

All SEC-registered advisers, as well as those engaging in established best practices, are required to perform an annual review of the firm’s Compliance Program under Rule 206(4)-7. This is a review and testing of the firm’s Policies and Procedures and Compliance controls, culminating in a summary letter of the findings and remedial recommendations. Bates Compliance’s consultants have performed Annual Reviews for a wide range of clients, from small, one-member firms to some of the largest in the industry. Bates Compliance has extensive testing methodologies it uses to effectively “Pressure Test” a firm’s policies, determining if and where weaknesses exists and suggesting corrective measures the firm should implement. As supervision continues to top the SEC’s exam priority list, having a sound compliance program begins with having a sound compliance manual.

As-Needed Compliance and Regulatory Consulting

Bates Compliance works with advisers on an “As-Needed” basis to answer questions regarding compliance processes, updates to the firm’s compliance manuals, or to explain new regulations as they are adopted. When you engage with Bates Compliance, you are provided access to top regulatory experts, former CCO’s and former regulators, who will provide answers you can feel confident with.

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

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