Cobia Compliance
Rhonda Davis is the Managing Director of the Compliance Practice at Bates Group. She joined Bates Group in 2021 and is based in Houston, Texas. Prior to joining Bates, she founded Cobia Compliance LLC in 2009 to provide regulatory and consulting services to broker-dealers and investment advisers and specializes in AML independent testing, FINRA 3120 testing, and annual Rule 206(4)-7 testing for investment advisers. Ms. Davis also assists with FINRA Membership Applications, Continuing Membership Applications, and with winding down operations. Other services she provides include assisting with FINRA and SEC examinations and examination responses, litigation support for broker-dealers and investment advisers.
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- Anti-Money Laundering
- Broker-Dealers
- Registered Investment Advisers
Sentiment Analysis
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