Watch for Smoke to Prevent the Fire
Sometimes the biggest challenge in compliance management is drawing connections between smaller events or circumstances that could add up to or indicate a larger, more serious problem.
In this second of our Roundtable Talks series with Bates Group, David Birnbaum, JD, a Managing Director of Bates Group, talks about the importance of getting to know a business and its people in order to effectively help them keep up with compliance. The Bates Compliance Solutions team uses their expertise and experience to balance art with science as they seek out the smoke to prevent the fire.
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Check out our other two Roundtable Talks with David for more discussion about how good compliance impacts value, and the importance of conducting compliance self-audits. Additional videos linked below:
Bates Compliance Solutions (BCS), a division of Bates Group LLC, is made up of experienced former regulators and compliance professionals, including CAMS-certified individuals who provide world‐class Compliance and Regulatory services and support for new and existing Registered Investment Advisers (RIAs) and hybrid firms. Our comprehensive set of RIA services is tailored to the needs and requirements of each firm, at prices that are more than competitive. BCS services include a myriad of front office, governance, compliance, risk, and internal audit services. The BCS team can tailor an engagement for a discrete need, or as continuous, ongoing advice and support. Visit Bates Compliance Solutions for a complete listing of their services.