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.
Research
Explore SEC 2026 exam priorities with a five-year trend chart highlighting key compliance focus areas like cybersecurity, fiduciary duty, and risk management.
Events
Join Bates Group at the 2026 NSCP Compliance Lab in Miami for hands-on training, real-world scenarios, and expert-led financial compliance insights.
Events
Explore rising enforcement risks in prediction markets as regulators increase scrutiny on insider trading, compliance, and event contract oversight.
Events
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.
