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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
We’re looking for talent! Interested in a career at Bates Group? Visit our Careers page.
Bates Group’s litigation, arbitration, and consulting experts provide our financial services industry clients and counsel decades of practical securities market experience across a broad range of functions, including but not limited to trading, retail sales practice and supervision, institutional practice, employment, clearing, and quantitative data analysis.
Managing Director, Practice Leader - Securities and Financial Services Litigation & Consulting
Bates Compliance's team of experienced compliance professionals provide comprehensive offerings for Registered Investment Adviser, Broker-Dealer, and hybrid firms, as well as Private Fund and Hedge Fund clients, assisting them with compliance, risk mitigation, AML, supervision, and internal control functions.
Managing Director, Business Development and Strategy
Bates Group offers comprehensive compliance consulting solutions to established and start-up companies in the areas of banking, financial technology (FinTech), virtual assets and cryptocurrency, traditional Money Services Businesses (MSBs), and Non-Banking Financial Institutions (NBFIs).
Chief Growth Officer and Senior Managing Director, Fintech & Banking Compliance
Bates Group’s professionals and experts, with decades of practical senior regulatory, legal, compliance and business experience, are engaged by our U.S. and Non-U.S. clients to conduct or participate in sensitive and complex regulatory and internal investigations.
Whether it is a single transaction or billions of lines of data, using state-of-the-art technology, our industry leading data analytics and big data analyses team will help you make sense of the damages and dollars at stake in arbitration and litigation, internal investigations and enforcement matters.
Managing Director, Practice Leader - Securities and Financial Services Litigation & Consulting
Annuity and Insurance product support and actuarial services for regulatory response and litigation
Managing Consultant, Insurance & Actuarial Services
