Visit the Bates Booth at NSCP 2022

Bates Compliance is a proud exhibitor at this year's NSCP National Conference, October 17-19, 2022, at the Gaylord National Hotel and Conference Center in National Harbor, MD. Visit us at Booth #25 to meet with Bates representatives, learn more about our broad range of compliance and AML services, and pick up some goodies!

We can assist with:

• New Marketing Rule implementation
• Reg BI Client Relationship Summary (“Form CRS”)
• Policies and Procedures and Code of Ethics Manuals
• ESG policy development and disclosures
• BSA/AML Compliance
• Compliance Program Review
• Gap Analysis / Risk Assessment
• Rule 206 (4) -7 Annual Review
• Business Continuity and Disaster Recovery Plans
• Trade Blotter Analysis
• SEC Examination Preparation and Assistance
• Custody Review
• IARD Account Administrator and Annual Amendment Filing
• Amendments to Form ADV
• Due Diligence Review
• Cyber guidance
• FinTech and Virtual Assets
• Ongoing Consulting Assistance as Needed

Don't miss Bates Managing Director Hank Sanchez, Esq. (pictured) speaking on panel 10b: "Preparation for Disasters and Other Unexpected Events," on Wednesday 10/19 at 10:15 AM.

Not attending the NSCP conference this year? Please reach out to us to discuss your compliance needs at contact@batesgroup.com or call 503-670-7772.