Events
Bates Group at the 2026 FINRA Annual Conference
Bates Group will be at the 2026 FINRA Annual Conference May 12-14, covering key regulatory trends, compliance insights, and industry networking in Washington, D.C.
Deep Industry Expertise, Customized Approach
Compliance, Litigation, Regulatory & Data Analytics for Financial Services Companies
Services
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BD-RIA Compliance
Registrations, reviews, CCO outsourcing, program build-out, regulatory supervision, and exam support for B-Ds, RIAs, and Funds.
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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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Litigation and Regulatory
Full-service litigation and regulatory support, including securities litigation/arbitration, industry sweeps, enforcement, reviews, and expert testimony.
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Fintech and Banking
Meet regulatory requirements with customizable solutions, including risk assessments, policy development, reviews, and training.
Select Client Type for Personalized Solutions
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.
Stay Dialed in with Bates Group
News
Bates Group Announces CEO Transition
Bates Group announces leadership transition as Benjamin Pappas steps down; Alex Russell and Rhonda Davis named Co-CEOs to lead continued growth.
Events
Bates Group is a Proud Sponsor of the 2026 SIFMA C&L Annual Seminar
Bates Group is a proud sponsor of the 2026 SIFMA C&L Annual Seminar, uniting financial industry compliance and legal leaders in Orlando March 22–25, 2026.