Events
Bates Group is a Proud Sponsor of the 2026 NSCP National Conference
Rhonda Davis, Hank Sanchez, and Jennifer Selliers lead featured sessions at the 2026 NSCP National Conference, October 26–28 in Orlando. Bates group is a proud sponsor.
Deep Industry Expertise, Customized Approach
Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies
Services
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BD-RIA Compliance
Registrations, reviews, CCO outsourcing, program build-out, regulatory supervision, and exam support for B-Ds, RIAs, and Funds.
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Data Analytics
Industry-leading capabilities for P&L or damages reports, trade investigations, market abuse monitoring, tech reviews, and data-centric regulatory response needs.
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Litigation and Regulatory
Full-service litigation and regulatory support, including securities litigation/arbitration, industry sweeps, enforcement, reviews, and expert testimony.
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Fintech and Banking
Meet regulatory requirements with customizable solutions, including risk assessments, policy development, reviews, and training.
Select Client Type for Personalized Solutions
Proven Expertise = Valuable Insights
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.
Leading the Way in Compliance, Data Analytics, Litigation and Regulatory Support for Financial Services
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.
Stay Dialed in with Bates Group
Research
When No Money Leaves: Account Takeover as a Manipulation Problem
A compromised brokerage account is now as likely to be used to move a stock price as to move funds. That changes what surveillance has to catch, and what a firm has to be able to prove afterward.
Events
Bates Group Attends ICI’s Inaugural Compliance, Risk, and Legal Conference
Bates Group Managing Director Jennifer Selliers will attend ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.
News
Kurt Wachholz Promoted to Senior Managing Director and Compliance Practice Lead
Kurt Wachholz has been promoted to Senior Managing Director and Compliance Practice Lead