Deep Industry Expertise, Customized Approach
Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies
Registrations, reviews, CCO outsourcing, program build-out, regulatory supervision, and exam support for B-Ds, RIAs, and Funds.
Industry-leading capabilities for P&L or damages reports, trade investigations, market abuse monitoring, tech reviews, and data-centric regulatory response needs.
Full-service litigation and regulatory support, including securities litigation/arbitration, industry sweeps, enforcement, reviews, and expert testimony.
Meet regulatory requirements with customizable solutions, including risk assessments, policy development, reviews, and training.
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.
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.
Events
Shadow AI creates data exposure and supervision gaps that examiners, boards, and clients will ask about. Join Bates Group and SurgeONE.ai to find hidden AI use, understand Regulation S-P…
Research
Romance scams often pass authentication because the real customer logs in and requests the transfer. Bates Group examines how these schemes cross fraud, cybersecurity, AML, and supervision, and what FINRA’s proposed Rule 2166 means for firm readiness.
Events
Bates Group Managing Director Jack Bruno, CRCP, joins the RIA Compliance Best Practices panel at Raymond James EMPOWER, October 25 to 28 in Tampa, covering supervision evidence, fee-billing, conflicts of interest, and examination readiness.
Events
Bank partners, examiners, and boards are asking harder questions about compliance. Bates Group's team will be at Money20/20 USA, October 18-21, 2026, in Las Vegas, to meet with banks, fintechs,…
