Events
Live Webinar April 1st on Navigating Reg BI Enforcement
Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.
Deep Industry Expertise, Customized Approach
Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies
Services
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Compliance
Registrations, reviews, CCO outsourcing, program build-out, regulatory supervision, and exam support for B-Ds, RIAs, and MSBs.
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Data Analytics
Industry-leading capabilities for P&L or damages reports, trade investigations, market abuse monitoring, tech reviews, and data-centric regulatory response needs.
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BSA/AML/OFAC
Meet regulatory requirements with customizable solutions, including risk assessments, policy development, reviews, and training.
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Litigation and Regulatory
Full-service litigation and regulatory support, including securities litigation/arbitration, industry sweeps, enforcement, reviews, and expert testimony.
Proven Expertise = Valuable Insights
The Bates team consists of seasoned industry professionals with decades of proven success, dedicated to delivering impactful solutions.
Unmatched Depth Over 250 specialized areas of expertise across a variety of industries.
Top Industry Talent Voted as one of the premier workplaces for 2024 by the Oregonian.
Data-Driven Results Billions of data points analyzed across thousands of engagements.
Client-First Approach 95% satisfaction rate, reflecting our commitment to your success.
Leading the Way in Compliance, Data Analytics, Litigation and Regulatory Support for Financial Services
As one of the most heavily regulated industries in the world, financial services companies frequently need access to deep industry knowledge and support beyond simple “off-the-shelf” consulting. That’s where Bates Group steps in, with its over 40 years of industry presence and customized approach. Whether you are a Fortune 500 full-service firm or a startup, our team delivers practical advice, analysis, and expertise to help you with Compliance, Disputes, or Investigations.
Thousands of Firms Trust Bates
Partnering with leading financial institutions, law firms, and financial services companies to deliver expert solutions for litigation, regulatory, AML, and compliance challenges.
It brings peace of mind to work with a compliance advisor who stays one step ahead of regulatory trends, has or finds the answers to our questions, and keeps our firm on track—year after year.
RIA Compliance
Brandi has always been a top-notch professional. She is extremely respected and knowledgeable in her field. Highly motivated and ready to tackle any situation. Brandi has always been my go-to person for any AML related questions I may have.
AML Compliance
My experience working with Bates Group has been nothing but exceptional; they have proven to be professional, ethical, and supportive. Their attention to detail is extraordinary and highly appreciated. We strongly recommend their services and jump in on emergency projects without fail.
AML Compliance/Training
I have practiced over 45 years as a lawyer focusing upon securities arbitration, litigation, and regulatory matters, and attorney and accountants malpractice. I have never met or worked with a finer group of people and forensic experts as the people in the Bates Group.
Litigation and Regulatory
I work with the experts at Bates because I trust their analysis. They provide me with accurate answers quickly and jump in on emergency projects without fail.
Data Analytics
We have engaged Bates Group for the most critical tasks on more than one occasion. Brandi and Matt are detail-oriented subject matter experts. The compliance landscape is non-static. We have found it is critical to engage a company that can work with you over time. Bates Group delivers.
Fintech and Banking
Bates Group is always my first call for litigation and arbitration support services. I have worked with them for years and have never been dissatisfied with the work performed.
Litigation and Regulatory
Thank you for your support in this matter, and Joe successfully brought the P&Ls in and was in essence our record custodian as to online hits, which was extremely helpful to avoid having someone else having to authenticate the documents. It was a pleasure as always to have Joe out on a case.
Litigation and Regulatory
I have been impressed with the substantive securities law expertise, forensic accounting and analytical skill, and thoughtfulness of the Bates employees with whom I have worked. In particular, Jen Cunningham is extremely responsive and knowledgeable and has been helpful when I needed assistance. Alex Russell has also impressed me with his work product and work ethic.
Litigation and Regulatory
Stay Dialed in with Bates Group
News
Brandi Reynolds Quoted by Bloomberg Tax on FinCEN’s Interim CTA Rule
Bates Group Managing Director and Senior Growth Officer Brandi Reynolds, CAMS-Audit, CCAS, is quoted in a recent Bloomberg Tax article on the future of the Corporate Transparency Act following a major shift in reporting requirements from FinCEN.
Research
Revitalizing an Underperforming AML Program: A Root Cause Analysis Approach
An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis can identify systemic issues across people, processes, and technology, guiding institutions toward targeted remediation and enhanced regulatory alignment.
Research
Mastering RIA Acquisitions: A Strategic Framework for Success
RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions and drive long-term value creation.