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.
News
Bates Group's Kurt Wachholz, IACCP, joins Compliance in Context to explain how firms can train compliance officers to exercise judgment in the AI era, where reasoning matters more than…
Events
Rhonda Davis, Hank Sanchez, and Jennifer Selliers lead featured sessions at the 2026 NSCP National Conference, October 25–28 in Orlando. Bates group is a proud sponsor.
Research
A compromised brokerage account is now as likely to be used to move a stock price as to move funds. That changes what surveillance has to catch, and what a firm has to be able to prove afterward.
Events
Bates Group Managing Director Jennifer Selliers will attend ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.
