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Bates Compliance - Annual Program Support Services for RIAs

Bates Compliance - Annual Program Support Services for RIAs

All Registered Investment Advisers (“RIA”) are required to have a compliance program that addresses certain regulatory requirements; written policies and procedures, designated chief compliance officer, annual program review, as well as other elements. The effective administration of a RIAs compliance program is challenging.

Bates Compliance’s Annual Compliance Program Support provides the following core services:

  • Annual Updating Amendment of Form ADV
  • Rule 206(4)-7 | Annual Program Review
  • Regulatory updates to applicable compliance policies and procedures
  • Annual compliance meeting
  • Compliance program calendar
  • Block of general consulting hours

Bates also provides additional tailored services to be added to the core services depending on a RIAs needs, such as:

  • Assessment, development, and implementation of policies and procedures for new regulatory rules
  • Regulatory filing assistance (Form U4, U5, 13F, and PF)
  • Policy and procedure drafting and editing
  • Document consistency review – marketing > agreements > policy and procedures > disclosures
  • Periodic CCO or compliance department support meetings

This service assists the RIA with the administration of their compliance program. The core annual support services are designed to help address the main elements of a compliance program. It does not include the performance or testing of any specific compliance policy or procedure tasks. Clients have the option of adding in those activities which would be identified and scoped separately as a service.

To Learn More, Please Contact:

Bates Compliance - Annual Program Support Services for RIAs

Rory O’Connor, Director

860-671-7270 | roconnor@batesgroup.com

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Would you like to discuss your compliance initiatives, concerns, or challenges with a Bates business development director? It is the best way to determine how we can assist you with your needs. Connect and schedule a time convenient for you.

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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.