News & Events – Bates News

Over 100 people attended our SIFMA/Bates Group Leaders and Experts Forum in New York City last Thursday: “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” InvestmentNews caught up with Bates Director of Institutional & Complex Litigation Alex Russell concerning the growing use of big data and data analytics to drive regulatory enforcement, a topic of great interest at the Forum.

Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Registration is now open.

Join leading in-house and outside counsel, regulators and experts on Thursday, January 26th in NYC for the 2017 SIFMA/Bates Group Leaders & Experts CLE Forum: "Successfully Managing Regulatory Investigations and Enforcement Matters in the Big Data Age." Early Bird Registration is now open.

Bates Group Managing Director David Birnbaum is quoted in an Ignites (FT's Mutual Funds industry publication) article on the compliance concerns companies need to consider during and after a merger or acquisition.  Click to read the full story.

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Bates Group is pleased to announce that Andrew Daniel, Bates Group Director, Securities Litigation Expert and Consultant, will be a featured speaker at the 2016 Securities Symposium, sponsored by the Greensfelder law firm and The Bar Association of Metropolitan St. Louis, on Wednesday, November 16, 2016.

Joseph “Joe” Thomas, Principal and Expert with Bates Group, is quoted in an Ignites (FT's Mutual Funds industry publication) article on the new proposed FINRA rule concerning vulnerable and elderly clients.  Click to read the full story.

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Visit Bates Compliance Solutions leaders at the 2016 NSCP Compliance Conference - Booth 24!

Bates Group is proud to announce that Jennifer Stout, President/CEO, and David Birnbaum, Managing Director of Business Development & Strategy, will be speaking on Wednesday, September 28 at the 2016 Independent Broker Dealer Consortium (IBDC) Conference taking place in Phoenix, Arizona.

Bates Group has been selected as a top Secuities Litigation Consulting Firm by the readers of the ​New York Law Journal​ for the second year in a row.

Recent senior securities and insurance regulators join Bates Group, the nation’s preeminent financial services consulting firm, providing end-to-end solutions on litigation, regulatory and compliance matters for financial services firms and their counsel.

Bates Group's Energy, Oil & Gas professionals have worked with financial services companies and their legal counsel to provide market, product and operational expertise in regulatory investigations involving energy-related issues, as well as in litigation settings.

Bates Group is honored to be nominated again in four 2016 NYLJ Reader Ranking Awards categories. We appreciate your vote at https://oy105.infusionsoft.com/app/linkClick/7144/149419c9a3f9b6e5/365778/a2b7d0ed542ead6f

Thank you!