General Consulting

General COMPLIANCE AND Regulatory Consulting Services

  • Regulatory Inquiries (incl. 12b-1 Fees and 529 Plans)
  • Advertising and Marketing Reviews
  • Annual Amendment and Regulatory Filings
  • Best Execution, Soft Dollar, Trade Allocation and Proxy Voting Compliance Reviews
  • Business Continuity, Cybersecurity and Succession Planning
  • Due Diligence and Assistance with Transition Filings from State to/from SEC Registration
  • As-Needed Compliance and Regulatory Consulting

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

The Experts Of Bates Group Are Here To Help

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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