Regulatory and Internal Investigations
Bates Group is uniquely positioned to assist Broker-Dealer and Investment Advisory clients, as well as State and Federal Regulators, with regulatory investigations. Our dedicated team of former senior in‐house legal and compliance officers, Certified Fraud Examiners (CFEs), Certified Public Accountants (CPAs) and regulators has decades of experience conducting a wide‐range of employee misconduct, including, but not limited to, fraud, sales practice, AML and whistle blowing investigations.
Bates Group is also highly experienced in handling investigations involving large and complex data sets. Using experienced programmers and forensic consultants with financial industry, fraud examination and accounting backgrounds, Bates can play an integral role in helping counsel understand the nature of the data set being examined, and present the results in a format which counsel can easily interpret and explain. 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. Our role in both internal and regulatory investigations is that of a partner to our clients, bringing our technical, industry, and managerial expertise to address the issues in question.