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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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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

Anti-Money Laundering Headlines for the New Year

Anti-Money Laundering Headlines for the New Year

Legislators, regulators and enforcement officials are providing a glimpse of what is likely to be a formidable year in the development of a new anti-money laundering (AML) framework. Recent AML activities, summarized last month by Bates Research, included new FINRA compliance guidance for member firms and the launch of the FinCEN “Exchange” program to facilitate greater information sharing between the public and private sectors. Since the first of the year, the U.S. Senate has held hearings on several core AML reforms, the Treasury Secretary alerted financial service firms that AML and know-your-customer (KYC) rules apply to crypto-currencies, and the Comptroller of the Currency and the N.Y. Department of Financial Services (DFS) imposed substantial AML penalties against two large institutions. Bates Research has the details.

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FINRA 2018 Regulatory and Examination Priorities Comparison and Commentary

FINRA 2018 Regulatory and Examination Priorities Comparison and Commentary

This week, FINRA released its Regulatory and Exam Priorities for 2018. The Priorities Letter is intended to be a reference point for firms to prepare their compliance, supervisory and risk management programs, as well as to prepare for FINRA examinations. While most of the priorities from previous years remain in force, there are a handful of new topics and new emphases stemming from regulatory developments during 2017. Bates Research explains how these priorities have changed over time and what's in store for 2018.

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2018 FINRA Priorities Announced

2018 FINRA Priorities Announced

FINRA has announced their regulatory and examination priorities letter for 2018.

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Bates Group has nearly 100 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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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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