The forensic accounting and economic damages team at Bates Group provides accounting, financial, and valuation expertise while at the same time effectively and objectively communicating the findings to the client throughout the duration of a project.
Whether serving as consulting experts or testifying experts, we support law firms, businesses, and government agencies by deciphering, interpreting, and explaining relevant accounting and financial data—including qualitative characteristics—to produce reliable and useful outcomes. In collaboration with Bates Group's Big Data Services, we process large data sets to collect, identify, and filter the relevant data required to execute a meaningful analysis consistent with the project’s objectives.Contact Bates Group
Our experts, with years of industry experience and credentialing, consult, advise and testify on matters concerning products, practices and standards for brokers, agents and registered representatives.Contact Bates Group
Comprehensive Registered Investment Adviser Firm Compliance and Regulatory Consulting Services from an Industry Leader
Protecting Seniors and other Vulnerable Investors
In the face of increased regulatory pressures and budget constraints, financial service providers are increasingly looking to independent consultants and experts to help meet their growing compliance obligations and establish best practices within their firm’s compliance program. Bates Compliance helps financial service providers meet those obligations.Contact Bates Group
Bates Compliance's team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, risk mitigation, AML, supervision, and internal control functions. Bates Compliance can assist you by providing as-needed or ongoing compliance support, conduct reviews and provide guidance on a myriad of compliance matters to meet your regulatory obligations. Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry best practices to supplement and enhance your compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings. We also assist our clients in forming new Investment Advisory and Broker Dealer firms with the preparation and implementation of their compliance and supervisory programs, as well as the operational infrastructure and required regulatory filings.Find An Expert
In the face of increasing regulatory investigations and actions, as well as resource constraints, financial services companies are looking to independent consultants for assistance and to help establish and implement Anti-Money Laundering and Financial Crimes best practices. Bates Group has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering quality results on a cost-effective basis. Bates AML and Financial Crimes helps clients meet their AML/FC obligations through experience, resources and ongoing guidance. Our services are tailored to the specific needs and requirements that our clients and regulators are seeking.
Bates' consultants and experts bring many years of experience to the table, having practiced at Big Four firms, regulatory agencies, or as part of internal corporate departments prior to joining Bates. Our teams are credentialed across many specialties and include Certified Public Accountants, Chartered Financial Analysts, Certified Fraud Examiners, Certified Insolvency and Reorganization Advisors, Accredited in Business Valuation, and Certified Valuation Analysts.Contact Bates Group
Bates Group’s 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. Find a financial crimes expert now.Find An Expert
Using Bates Group’s proprietary software, our skilled professionals prepare high-quality data analytics reports, hypotheticals and what-if scenarios to support or rebut allegations before, during, and after hearings and while settling or mediating matters. Covering the full spectrum of investment products and services, our quantitative analysis and qualitative case strategy, advice, and expert testimony have been tested and accepted in all dispute resolution forums. Additionally, by operating with a very competitive rate structure, clients experience a process and receive an end product at a much lower cost without any compromise to quality.Contact Bates Group
Bates Group’s team of trusted industry experts and analysts are our clients go to resource for collaborative consulting, thought leadership and innovative solutions at all stages of the litigation life cycle.Find An Expert
Our regulatory practice team works closely with regional and multi-national financial services corporations, law firms, and federal and state regulators. Our role is that of a partner to our clients and their counsel, bringing our technical, industry and managerial expertise to address the issues and support their work through a full and final resolution.Contact Bates Group
Bates Group’s 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.Find An Expert
Bates Group’s industry experts and professionals provide our broker-dealer and investment adviser clients decades of practical securities market experience across a broad range of functions, including but not limited to trading, retail sales practice and supervision, institutional practice, employment, and clearing. In addition, Bates’ expertise spans the full gamut of investment products and strategies -- from individual securities to structured products, equity hedging strategies to complex derivative positions, selling away to insider trading and more.
Our experts have been engaged to consult and testify for arbitration hearings and for state and federal litigation cases. Our litigation team works closely with regional and multi-national financial services corporations, law firms, and federal and state regulators. Our role is that of a partner to our clients and their counsel, bringing our technical, industry and project management expertise to address all of their issues and support their work through to a full and final resolution.Contact Bates Group
Bates Group’s team of trusted industry experts and analysts are our clients go to resource for collaborative consulting, innovative solutions that contribute to their securities litigation success.Find An Expert