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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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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

Webinar Tomorrow May 11th: Achieving AML Program Success through AML Optimization and Data-Driven Compliance: What AML Practitioners Need to Know

Webinar Tomorrow May 11th: Achieving AML Program Success through AML Optimization and Data-Driven Compliance: What AML Practitioners Need to Know

Anti-Money Laundering continues to be a top target of examiners and enforcement, resulting in professional repercussions and millions of dollars of fines each year. Financial institutions and AML professionals are under increasing pressure now more than ever. Join us for this program to hear insights on managing these new realities during this time of increased regulatory scrutiny.

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DOL Releases New Guidance on Cybersecurity and on Exemptions for Investment Advice Fiduciaries

DOL Releases New Guidance on Cybersecurity and on Exemptions for Investment Advice Fiduciaries

In December 2020, the Department of Labor adopted regulations on investment advice for retirement accounts under ERISA, providing a class exemption for persons who are fiduciaries under ERISA and allowing them to receive compensation and engage in otherwise prohibited transactions on behalf of retirement investors, employee benefit plans and investment advice providers. The regulation has a long regulatory history and became effective on February 16, 2021. On April 13, 2021, the DOL issued guidance to address detailed implementation questions. In addition, on April 14, 2021, the DOL issued cybersecurity guidance for ERISA plan sponsors, fiduciaries and record-keepers, as well as for plan participants and beneficiaries. In this article, Bates takes a closer look and reviews the new DOL guidance, including details to guide your implementation and the cybersecurity protocols for your firm to follow.

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Bates Upcoming This Week: SWIFS Spring Symposium and Spirits of Pace

Bates Upcoming This Week: SWIFS Spring Symposium and Spirits of Pace

Bates CEO Jennifer Stout and Expert Linda Houston will be speaking at the upcoming Fifth Annual Southeastern Women in Financial Services (SWIFS) Spring Symposium on May 4, 2021. Bates is also a sponsor of the 2021 Spirits of Pace event on May 6, benefitting the Pace Center for Girls, Hillsborough, FL.

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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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