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Regulatory and Internal Investigations

Bates Group’s professionals and experts, with decades of practical senior regulatory, legal, compliance and business experience, are engaged by our U.S. and Non-U.S. clients to conduct or participate in sensitive and complex regulatory and internal investigations.

Practice Overview

Regulatory and Internal Investigations

Bates’ Regulatory & Internal Investigations team has supported our clients through hundreds of investigations, whether as a part of an internal review, an industry-wide sweep or self-reporting initiative, or a regulatory examination or enforcement action. The team has provided support to firms dealing with inquiries from the CFTC, OCC, FINRA, and the SEC, as well as numerous state regulators. Professional staff on the team bring a valuable combination of industry experience, coding skills, fraud investigations backgrounds, in addition to strong quantitative analysis skillsets.

As a result of that combined experience, Bates is uniquely positioned to offer support to large-scale investigations involving the analysis of big datasets (150 million or more lines) in service of identifying appropriate client remediation, if any, and quantifying that harm in a fair and reasonable manner. The Regulatory & Internal Investigations team has provided demonstratives, reports, and dynamic graphical walk throughs of its conclusions to both internal stakeholders and regulators on behalf of our clients.

Practice Leadership

Meet The Team
Alex Russell

Alex Russell

Managing Director, White Collar, Regulatory and Internal Investigations

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.

Case Examples

All Case Examples
Alex Russell

Share Class Disputes

The Regulatory & Internal Investigations team has assisted 30+ firms in responding to a variety of share class selection related issues.

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Mutual Fund Direct (current FINRA priority)

Bates has provided two types of support to our clients, in relation to the potential supervision failures associated with direct mutual fund business: a data review and a manual supervisory review.

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Advisory Account Reviews

The Regulatory & Internal Investigations team has assisted firms in reviewing Advisory Accounts for Fee Calculation, Inactivity/Underutilization, FA Book of Business Reviews, and Trading Away/Step Out Trading.

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Resources

The Practicalities and Opportunities of Harnessing Technology and Big Data in Regulatory Enforcement and Compliance Practices

White Paper

The Practicalities and Opportunities of Harnessing Technology and Big Data in Regulatory Enforcement and Compliance Practices

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Our regulatory practice team works closely with regional and multi-national financial services corporations, law firms, and federal and state regulators.

Our team of experts works tirelessly to analyze and distill complex sets of data, helping you understand and get in front of any issues.

By operating with a very competitive rate structure, our clients experience a process and receive an end product at a much lower cost without any compromise to quality.