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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
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Michael “Mike” Dorsey is a Bates Consulting Expert who has advised executives of broker-dealers and investment advisers on legal and regulatory aspects of their businesses, including fixed-income trading and securities lending through repurchase and reverse repurchase agreements, the structure of the equities market and Regulation NMS, alternative trading systems and Regulation ATS, sponsored access/direct market access and high-frequency trading, registration of the firm and its associated/affiliated persons, financial and operational matters, market making and sales trading, asset management and gathering, risk management and compliance oversight, and supervisory systems and procedures.
After completing law school, Mr. Dorsey held judicial clerkships with the Honorable Robert G. Dowd, Jr., of the Missouri Court of Appeals (E.D.) and the Honorable Roy W. Harper of the U.S. District Court (E.D. Mo.). For 8 years, he held various positions of increasing responsibility in the Division of Market Regulation (n/k/a Division of Trading and Markets) at the Securities and Exchange Commission (SEC). Mr. Dorsey first served as a staff attorney in the Office of Financial Responsibility and then in the Office of Trading Practices, then serving as special counsel and a branch chief in the Office of Compliance Oversight and Examinations. Since leaving SEC, he has held a variety of positions in the securities and asset management industries.
Mr. Dorsey is a former member of the International Committee and Trading Issues Committee of the Securities Traders Association of New York (STANY), and of the Compliance Committee of the Securities Traders Association (STA). He holds FINRA Series 7 and 24 licenses and is a veteran of the U.S. Navy.
Bates Group LLC, Consulting Expert, 2019 - Present
MTD Compliance Advisor LLC, President, 2005 – 2006, 2008 – 2012, 2017 - Present
Annaly Capital Management, Inc., Associate General Counsel and Chief Compliance Officer of Annaly Management Company, Fixed Income Discount Advisory Company, and RCap Securities, Inc. (n/k/a Arcola Securities, Inc.), 2012 - 2017
Oyster Consulting, LLC, Associate Director, 2012
OTC Markets Group, Inc., Managing Director, Trading Services and Compliance, 2006 - 2008
WR Capital Management L.P., Senior Vice President, General Counsel and Chief Compliance Officer, 2004 - 2005
Crown Financial Group, Inc. (OTCM: CFGI.PK), Director, Executive Vice President, General Counsel, Secretary and Director of New Product Development, 2003 - 2004
Knight Capital Group, Inc. (NYSE: KCG), Senior Vice President, General Counsel, Secretary, and Director of Legislative and Regulatory Affairs, 1998 - 2003
The Prudential Insurance Company of America, Assistant General Counsel (General Investment Section), 1994 - 1998
Securities and Exchange Commission (Division of Market Regulation), Branch Chief, Special Counsel (Office of Compliance Inspections and Oversight); Attorney/Advisor (Offices of Trading Practices and Financial Responsibility), 1986 - 1994
Judicial Clerkships, 1984 - 1986
Master of Law (LL.M), Sec. Reg., Georgetown University Law Center
Juris Doctor (JD), University of Missouri-Columbia School of Law
Bachelor of Science Business Administration (BSBA), Finance, Cum Laude, St. Louis University
