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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 Solution

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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SEC Reg BI Deadline

The SEC’s Reg BI implementation deadline is right around the corner. To support your implementation efforts, Bates Compliance is rolling out the Bates Reg BI Countdown with action items to keep your compliance team on track as the June 30, 2020 implementation deadline approaches.

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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

FINRA Enforcement Turns Up Heat on Mutual Fund Direct Business and Firms That Are Brokers of Record

FINRA Enforcement Turns Up Heat on Mutual Fund Direct Business and Firms That Are Brokers of Record

FINRA Enforcement has recently initiated enforcement actions against brokers-of-record and mutual fund and variable annuity direct business, focusing on client suitability, impact, remediation, and other issues. Read the full Alert to learn more about FINRA Enforcement's focus.

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SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

Hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits during our webinar, co-hosted by SIFMA and Bates Compliance. Jill Ehret (Director, Bates Compliance) will appear on the panel, with opening remarks by CEO Jennifer Stout. October 5, 2020 at 1 p.m. Eastern. CLE credits available.

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OCIE Warns Against Emerging Cyber Threat of “Credential Stuffing”

OCIE Warns Against Emerging Cyber Threat of “Credential Stuffing”

On September 15, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) issued an alert urging investment advisers and broker-dealers to review their customer account protection safeguards and identity theft prevention programs. The impetus behind the alert is an increase in the number of cyber-attacks using a tactic called “credential stuffing,” observed during recent examinations. OCIE also disclosed a number of practices firms are using to mitigate this emergent risk.

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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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