Contact Bates Today

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.

Get My Solution Started

Bates Group Logo

This is a test alert message at the top of the Bates website - Action Link

8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact

08-05-20

8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact

Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020,  “Capital Market Uncertainty in the Time of COVID-19 and the Potential Litigation and Regulatory Impact” when we look at 2020 in the context of past bear markets, compare the 1918 influenza pandemic to today, discuss the sectors and industries hardest hit by the economic disruption, and potential capital market-related litigation and regulatory enforcement matters on the horizon. Featuring (L-R) co-moderators Jack McGuire of Oppenheimer & Co. and Esther Cho of Keesal, Young & Logan, along with Greg Kyle, Bates Group Director and Expert. REGISTER HERE

Read More

Bates Group, Complidata Bring Expertise and  A.I. Technology Together to Optimize AML and Compliance

08-05-20

Bates Group, Complidata Bring Expertise and A.I. Technology Together to Optimize AML and Compliance

Bates Group and Complidata today announced a partnership to combine leading financial crime industry expertise and Artificial Intelligence (A.I.) technology together in a joint approach to assist financial institutions with tuning and optimizing their anti-money laundering operations and compliance. Based in Belgium, Complidata is a leader in the use of A.I. to drive automation and optimization for improved regulatory compliance. The partnership will assist financial institutions with the tuning and optimization of their transaction monitoring and sanctions and name screening systems — significantly increasing efficiencies and effectiveness in their processes and procedures while reducing the percentages of false-positive alerts.

Read More

Welcome to Our New Bates Experts

07-24-20

Welcome to Our New Bates Experts

Bates Group is proud to welcome our newest experts and consultants: 

Amy Bard, Esq.- Sales Practice Litigation, Compliance, Senior Investors

Paula Barnes - Retail Industry Expert, Retail Contracts, Regulatory and Compliance investigations

Linda Houston - Wealth Management, Branch Management, Hiring and Recruiting, Retail Securities Litigation and Arbitration

Donald Mattersdorff, CFA - Investment Advisory, Risk Management, Securities Analysis (Equity and Fixed Income)

Read More

Bates Practice Leadership Insights: Julie Johnstone on the Changing Litigation Landscape

07-22-20

Bates Practice Leadership Insights: Julie Johnstone on the Changing Litigation Landscape

As Managing Director for Bates Group's Retail Litigation practice, Julie Johnstone manages and oversees financial litigation and arbitration matters. Her team assists broker-dealer and investment advisers, banks and insurance companies, as well as State and Federal Regulators, throughout the life cycle of their retail litigation matters, from early case assessments, profit and loss reports, damage analyses, and “what if” scenarios, to expert consultation and testimony at hearing, as well as mediation and settlement support. We asked Julie to consider the state of retail litigation in light of the pandemic and to anticipate some of the long-term implications on case management and dispute resolution going forward.

Read More

Bates Practice Leadership Insights: Regulatory Investigations Now and on the Horizon

06-26-20

Bates Practice Leadership Insights: Regulatory Investigations Now and on the Horizon

Bates continues our practice leadership conversations this week with Alex Russell, Managing Director of Bates’ White Collar, Regulatory and Internal Investigations Practice. Alex’s team supports corporations, financial services firms, law firms and regulators by bringing technical, big data analytics and managerial expertise to a variety of disputes and investigations. We asked Alex about investigations, big data and other regulatory issues now and possibly on the horizon. Get the details in today's Bates Practice Leadership Insights.

Read More

Bates Practice Leadership Insights: What AML Officers are Thinking About Now

06-09-20

Bates Practice Leadership Insights: What AML Officers are Thinking About Now

Bates continues our practice leadership conversations this week with Edward Longridge, Managing Director of Bates Anti-Money Laundering and Financial Crimes Practice, for his views on the matters most pressing for AML officers right now, including coronavirus-related fraud, transaction monitoring, and third-party risk management. Here is a recap of our conversation.

Read More

New Capital Market Insights White Paper: Bear Markets, Black Swan Events and Volatility
Image © [iQoncept] /Adobe Stock

06-05-20

New Capital Market Insights White Paper: Bear Markets, Black Swan Events and Volatility

The first part of this year has been challenging for the equity markets. In March, the S&P 500 Index plunged into bear market territory as volatility soared to historic levels. The sudden appearance of a severe global pandemic is just the most recent example of a “black swan event” roiling the markets. In this paper, Bates Director and expert Greg Kyle examines in detail bear markets, black swan events, and volatility to gain some perspective on how the recent—or current?—bear market compares with historical periods.

Read More

Introducing Bates Group’s Business Interruption Litigation Support
Image © [Andrey Popov] /Adobe Stock

06-02-20

Introducing Bates Group’s Business Interruption Litigation Support

Bates Group’s industry-leading insurance, forensic accounting and economic damages experts stand ready to assist Insurers and agents in the many challenges they face as result of pandemic-related business interruptions, including pre-litigation claims reviews and multi-faceted support should a matter proceed to litigation.

Read More

Bates Practice Leadership Insights: What Compliance Officers are Thinking About Now
Image © [frank peters] /Adobe Stock

05-20-20

Bates Practice Leadership Insights: What Compliance Officers are Thinking About Now

In this first of a series of conversations with Bates Group practice leaders, we caught up with Robert Lavigne, Managing Director and Bates Compliance Practice Leader, and Hank Sanchez, Esq., Bates Compliance Managing Director and former SEC and FINRA regulator, to get an understanding of what they are hearing from compliance officers right now, as well as advice for compliance teams in the "new normal."

Read More

Welcome Our New Bates Experts

05-11-20

Welcome Our New Bates Experts

Bates Group is proud to welcome our newest experts and consultants: 

Kathy D. Ireland – ERISA, Investment Advisers Act, Codes of Ethics

Philip Lieberman, CPCO, CLU – Property and Casualty Insurance

Jennifer Luce – Accounting, Media, Publishing

Mike Steinmetz – Cybersecurity

Read More

Contact Bates Group

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.