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Consultants & Expert Testimony

Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.

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End-To-End Solutions

The Bates team of consulting and testifying experts - and experienced big data and analytical professionals support arbitration, litigation, and enforcement matters, help with the complexities of internal investigations, assist in responding to and resolving regulatory investigations and examinations and prepare and assist in the implementation, review and enhancement of compliance and supervision programs and policies/procedures.

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The smart way to identify and select the best arbitrators for your case

Arbitrator Evaluator streamlines the arbitrator ranking and selection process, summarizing disclosure reports into one easy-to-read document.

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Recent News

Significant Changes to Anti-Money Laundering Framework Enacted into Law

Significant Changes to Anti-Money Laundering Framework Enacted into Law

The new Anti-Money Laundering Act (AMLA) became law on January 1, 2021, extending the “risk-based” AML approach to regulation and enforcement. AMLA is the most significant update to the Bank Secrecy Act rules since the USA PATRIOT Act in 2001. It incorporates substantial changes to the laws governing the combatting of money laundering and terrorist financing. Read the full article to learn about key final provisions that will lead to many changes in industry rules and practices going forward, and how Bates AML and Financial Crimes can support your.

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SEC Rewrites Rules on Investment Adviser Marketing

SEC Rewrites Rules on Investment Adviser Marketing

Just prior to the new year, the SEC finalized significant changes to rules and forms governing advertising and cash solicitations under the Investment Advisers Act, replacing both the prior Advertising Rule and Cash Solicitation Rule with a single, broad, “modernized” marketing rule. The new rule also amends investment adviser registration Form ADV and the books and records rule to reflect the related changes. In this article, we detail key provisions of the new rule and how Bates will help your firm navigate and implement this significant rule change.

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SWIFS December 2020 Spotlight on Bates Group CEO Jennifer Stout

SWIFS December 2020 Spotlight on Bates Group CEO Jennifer Stout

Bates Group CEO Jennifer Stout is featured by Southeastern Women in Financial Services (SWIFS) in their December 2020 Member Spotlight.

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We Help Reduce Risk and Resolve Matter Outcomes.

Subject Matter Experts

Bates Group has over 165 analysts, quantitative and substantive experts nationwide to help you with your securities litigation, regulatory, compliance, forensic and damages consulting needs

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Corporate Internal Investigations

Bates Group’s regulatory professionals conduct or participate in sensitive and complex regulatory and internal corporate investigations in the U.S. and throughout the world. 

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Insurance and Actuarial Litigation

Bates Group's Insurance and Actuarial practice is focused on providing cost effective solutions for your expert consulting and insurance and actuarial litigation needs.

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