Discover the Bates Compliance Difference
In a sea of compliance consulting and technology firms, it can be difficult to determine whether a firm can and will meet your needs. Bates Compliance does things a little differently from everyone else. For starters, our team’s industry knowledge and regulatory compliance expertise is our greatest strength, benefiting our IA, BD, hybrid, and fund clients, and the investors they serve.
How is Bates Different?
Improving your firm’s compliance program is our number-one priority. When working with Bates on a specific, ongoing or larger engagement, you will have access to a professional staff of highly experienced former CCOs and regulators as well as over 175 individual industry and subject matter consultants and experts. Bates Group is the only compliance consulting firm that offers this type of expertise and depth to meet your full compliance needs.
The Bates Compliance model allows us to ensure unbiased and objective service to your firm. There are no hidden expenses or add-on technology costs, and we keep communication at the forefront of our relationship with you. Bates does not use a “pre-packaged service” model, so you never have to worry about paying for services that do not pertain to your business model.
We Offer Individualized Services
Bates Compliance understands that no two IA, BD or hybrid firms or compliance programs are exactly alike, so why would the services being proposed be? While many firms want you to buy pre-packaged, canned services, we tailor each plan and engagements to match your compliance needs and goals.
We Offer Individual and Team Advising
When you engage Bates Group for compliance consulting services, you’ll have a dedicated lead consultant and will also receive the advice of a team of consultants who work together to create a balanced, expertly calculated plan that matches your firm’s unique compliance needs. Using this team advising model allows us to consistently strive to provide a cohesive, all-encompassing client experience.