Deep Industry Expertise, Customized Approach
Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies
Registrations, reviews, CCO outsourcing, program build-out, regulatory supervision, and exam support for B-Ds, RIAs, and MSBs.
Industry-leading capabilities for P&L or damages reports, trade investigations, market abuse monitoring, tech reviews, and data-centric regulatory response needs.
Meet regulatory requirements with customizable solutions, including risk assessments, policy development, reviews, and training.
Full-service litigation and regulatory support, including securities litigation/arbitration, industry sweeps, enforcement, reviews, and expert testimony.
The Bates team consists of seasoned industry professionals with decades of proven success, dedicated to delivering impactful solutions.
Unmatched Depth Over 250 specialized areas of expertise across a variety of industries.
Top Industry Talent Voted as one of the premier workplaces for 2024 by the Oregonian.
Data-Driven Results Billions of data points analyzed across thousands of engagements.
Client-First Approach 95% satisfaction rate, reflecting our commitment to your success.
As one of the most heavily regulated industries in the world, financial services companies frequently need access to deep industry knowledge and support beyond simple “off-the-shelf” consulting. That’s where Bates Group steps in, with its over 40 years of industry presence and customized approach. Whether you are a Fortune 500 full-service firm or a startup, our team delivers practical advice, analysis, and expertise to help you with Compliance, Disputes, or Investigations.
Partnering with leading financial institutions, law firms, and financial services companies to deliver expert solutions for litigation, regulatory, AML, and compliance challenges.
It brings peace of mind to work with a compliance advisor who stays one step ahead of regulatory trends, has or finds the answers to our questions, and keeps our firm on track—year after year.
RIA Compliance
Brandi has always been a top-notch professional. She is extremely respected and knowledgeable in her field. Highly motivated and ready to tackle any situation. Brandi has always been my go-to person for any AML related questions I may have.
AML Compliance
My experience working with Bates Group has been nothing but exceptional; they have proven to be professional, ethical, and supportive. Their attention to detail is extraordinary and highly appreciated. We strongly recommend their services and jump in on emergency projects without fail.
AML Compliance/Training
I have practiced over 45 years as a lawyer focusing upon securities arbitration, litigation, and regulatory matters, and attorney and accountants malpractice. I have never met or worked with a finer group of people and forensic experts as the people in the Bates Group.
Litigation and Regulatory
I work with the experts at Bates because I trust their analysis. They provide me with accurate answers quickly and jump in on emergency projects without fail.
Data Analytics
We have engaged Bates Group for the most critical tasks on more than one occasion. Brandi and Matt are detail-oriented subject matter experts. The compliance landscape is non-static. We have found it is critical to engage a company that can work with you over time. Bates Group delivers.
Fintech and Banking
Bates Group is always my first call for litigation and arbitration support services. I have worked with them for years and have never been dissatisfied with the work performed.
Litigation and Regulatory
Thank you for your support in this matter, and Joe successfully brought the P&Ls in and was in essence our record custodian as to online hits, which was extremely helpful to avoid having someone else having to authenticate the documents. It was a pleasure as always to have Joe out on a case.
Litigation and Regulatory
I have been impressed with the substantive securities law expertise, forensic accounting and analytical skill, and thoughtfulness of the Bates employees with whom I have worked. In particular, Jen Cunningham is extremely responsive and knowledgeable and has been helpful when I needed assistance. Alex Russell has also impressed me with his work product and work ethic.
Litigation and Regulatory
Research
AML and fraud alerts may originate from the same department—but should they be worked the same way? This article explores why the timing, urgency, and operational requirements of…
Research
Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.
Events
Discover how leading firms are transforming compliance into a strategic advantage. Join InvestorCOM’s live webinar, Compliance as a Business Enabler: Transforming Oversight into Opportunity, on July 17 at 1:00 PM ET, featuring Bates Group Managing Director Armin Sarabi. Gain actionable insights on enhancing advisor oversight, navigating regulatory shifts, and driving business growth through modern compliance practices.
Research
As third-party risk management evolves, financial institutions must adapt to new challenges,including oversight of vendor-deployed AI and deeper supply chains. This article explores how awareness and active risk…
