Regulatory and Internal Investigations

Internal Investigations

Bates Group has extensive experience conducting in‐depth internal reviews and corporate investigations for financial service providers and other clients.  Our internal investigations and regulatory practice team works closely with regional and multi-national financial services corporations and their counsel, boards of directors, audit committees and executive management, law firms, and federal and state regulators. Our work may involve analyzing data sets, testing the effectiveness of compliance programs and procedures, and responding to the employee conduct which may be at issue in the arbitration, litigation or regulatory inquiry.

Bates Group is also highly experienced in handling investigations involving large and complex data sets.  We help counsel understand the nature of the data set being examined and present its results in a format which counsel can easily interpret and explain.  The efficiency with which we are able to conduct internal and corporate investigations is greatly enhanced not only by the experience of our investigations experts and consultants, but the ready support of our IT team and its ability to manage, search and preserve large volumes of electronic and other documents through our proprietary software.

Whether it's a large-scale insider trading investigation or a focused examination into specific transactions and/or events, we offer experts with financial industry, fraud examination and accounting backgrounds to form a valuable team so that management and counsel are in command of the facts in order to make the best-informed decisions.

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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.

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Regulatory and Internal Investigations

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