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Expertise, Knowledge, Experience, and Data-Driven Solutions to Achieve Your Litigation, Regulatory, AML & Compliance Success
Bates Group is a leading financial services consulting firm in the United States. We have been a trusted partner to financial services firms and counsel for over 40 years. Our professional services staff and 175+ industry experts and consultants offer services in litigation consultation and expert testimony, regulatory and internal investigations, compliance and AML solutions, state licensing support, P/L reports, damages consulting, big data analyses, forensic accounting, and expert compliance training.
We work with the nation’s leading multinational and regional banks, financial institutions, insurance companies, and law firms, as well as established and start-up broker-dealers, investment advisers, and funds, money services businesses (MSBs) and non-bank/non-depository institutions, including blockchain, virtual asset and cryptocurrency companies, and precious metal dealers.
Our dedication to meet our clients’ needs is our greatest priority and pride.
Bates boasts the largest roster of financial industry consultants and experts. Whether you are seeking an options or margin expert, suitability, Reg BI, big data, damages, or insurance testifying expert, AML or compliance project or ongoing consultant, the experts at Bates cover over 250 unique areas of financial services and non-banking financial institution knowledge and expertise.
Experience Matters: Bates Group's MSB, Bank, and FinTech team provides expert advice and industry best practices for BSA/AML/OFAC Compliance, Independent Reviews, State Licensing (MTL, Virtual Currency), Team Training, and more.
Bates Group’s consultants and testifying experts are all outstanding practitioners in their fields. Our nation-wide roster of over 175 quantitative and substantive consultants and experts span 250 unique areas of expertise. Find the right expert for your matter today.
At Bates Group, we offer comprehensive services to support you throughout your professional obligations and needs.
We understand that every matter has different intricacies, and that each client has different needs. Our agile team of deeply experienced professionals will customize a solution to ensure your case or project needs are addressed.
The Bates team is made up of former industry practitioners. When we say we understand your situation, your concerns and your needs, we mean it. It’s our top priority to provide you with powerful solutions that help you reach success.
Essential SEC compliance seminar for investment professionals - CCOs and senior compliance personnel: Join key sessions on security, marketing rules, and regulatory requirements.
Bates Group Strategic Advisor Connie Fenchel, CAMS is at the INFiN Money Trends 2024 Conference, October 28-30 in Tampa.
The SEC Division of Examinations has released its exam priorities for fiscal year 2025, outlining a comprehensive approach to oversight that emphasizes both traditional and emerging market risks.