Bates News - 09-14-18

Bates Group Welcomes Financial Services Industry Leader and Consultant Gerald Baker

Bates Group is pleased to welcome Gerald (“Jerry”) Baker, Financial Services Industry Leader and Consultant, to Bates Compliance Solutions. With over 45 years of Financial Services and Compliance experience, Mr. Baker brings a wealth of industry knowledge and expertise, having developed compliance programs and managed Compliance Department functions at major U.S. securities and financial services firms. He provides compliance and supervisory consulting and training, serving clients at financial services firms, trade associations and regulatory organizations.

Mr. Baker served for over a decade as Executive Director of the Compliance and Legal Society of the Securities Industry and Financial Markets Association (SIFMA) and is a frequent speaker at compliance and industry conferences. He co-chaired the two working groups in the development of the influential 2005 SIFMA C&L Society White Paper on The Role of Compliance and the 2013 follow-up: The Evolving Role of Compliance. He is also a contributing author on the textbook Modern Compliance, Best Practices for Securities & Finance, Vol. 1 (CCH Inc., 2015). In 2011, Mr. Baker received the prestigious Alfred J. Rauschman Award from the SIFMA C&L Society in recognition of his outstanding contributions to the compliance, legal and regulatory community.

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About Bates:

Bates Group has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a Best Securities Litigation Consulting Firm by readers of the New York Law Journal and a 2017 NYLJ Hall of Fame service provider, Bates Group provides end-to-end solutions throughout the lifecycle of your legal, regulatory, and compliance matters. With a roster of over 135 financial industry and regulatory experts, Bates offers services in litigation consultation and testimony, regulatory and internal investigations, AML and financial crimes, compliance solutions, and damages consulting. The Bates Compliance Solutions team of experienced compliance professionals provide comprehensive offerings for broker-dealer and registered investment adviser clients, assisting them with supervision, compliance, risk assessments, WSPs, AML, and internal audit functions on an as-needed or ongoing reviews, including guidance to meet clients’ regulatory compliance obligations.


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