Risk Assessment/Gap Analysis

Regulators expect all SEC-registered advisers to conduct a Risk Assessment/Gap Analysis of their firm, and to review and update it annually.  Bates Compliance Group has the expertise and the methodology in place to review the inner workings of your firm and compare them to industry best practices. We then assist your firm in prioritizing the highest-risk areas as well as determining where gaps exist and making the necessary change to address them.  The goal and end product of this review is a matrix comparing the firm’s activities, rating them in comparison to industry standards and providing the firm with what should be the firm's focus.

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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.

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