Bates Group

Facing FINRA and SEC Litigation and Arbitration cases?
Start the new New Year by putting your stress on hold. Contact us now, and we’ll help you secure your consulting and testifying experts. https://ow.ly/HHxO50QnarK

Your RIA deserves more than cookie-cutter compliance support in 2024. The expert consultants at Bates partner with firms to create compliance solutions tailored to your needs throughout the lifecycle of your RIA. Whether you need targeted compliance support or want to build an ongoing partnership with someone who understands your RIA business model, Bates can help deliver consistent results. Get Started with Ongoing Compliance Consulting:
https://ow.ly/6QIC50Qkmu6

Tomorrow at 1 pm ET: Stay ahead of compliance in the New Year by mastering the SEC's 2024 exam priorities in a complimentary webinar. Industry experts from Bates Group, Alphastar Capital, Docupace, InvestorCOM, and Scopus Financial Gain. Discover how to:
• Navigate the convergence of best interest principles across Reg BI and DOL's Fiduciary requirements,
• Provide investment advice to clients across products, strategies, and account types,
• Processes to determine the investment advice is provided in clients' best interest and
• Use technology to consider reasonably available alternatives (RAA) products, account types, and rollover recommendations.
To join us tomorrow at 1 pm ET — register now: https://ow.ly/O6UQ50QhvS0. Limited spots are available!