Bates has extensive experience conducting and supporting in-depth internal reviews and corporate investigations for financial service providers and other clients. Our dedicated team of former senior legal and compliance officers, Certified Fraud Examiners (CFEs), and Certified Public Accountants (CPAs) has decades of experience conducting a wide-range of fraud, sales practice, employee misconduct, “Whistleblowing,” accounting, and forensic investigations.
Our internal investigations team also has years of experience working with executive management, audit committees, and boards of directors, allowing us not only to conduct thorough and independent internal investigations but to present our findings in a highly cogent and straightforward manner to key decision makers. Our Report of Findings and other presentations provide "C level" executives with the information they need to move forward.
The efficiency with which we conduct corporate investigations is greatly enhanced by the experience of our investigation experts, and the ready support of our IT team including its ability to manage, search and preserve large volumes of electronic and other documents through our proprietary software. The flexibility of our technology allows us to respond to unique one-off questions that arise during investigations and legal proceedings , giving counsel the documents they need to best support their clients.
Our Bates Investigations Team are experienced testifying witnesses in both quantitative and substantive areas, and are readily available to testify in investigations-related litigation or regulatory proceedings.
At Bates, we thrive on the challenge of answering complex problems with analytic results.
Examples of Bates Group‘s Capabilities
Our Investigations Team has searched through millions of pages of documents for evidence of backdated stock option grants; considered thousands of records to determine whether investors were sold the correct mutual fund share classes; reviewed the records of financial conduct of a very large number of brokers and advisors; examined loan portfolios to ensure that lending standards were applied equally to all applicants; audited financial records searching for evidence of channel stuffing; and verified completion cost estimates for large construction projects. And that’s just a small sample of the internal investigations we have recently conducted