Bates Group

Bates Group (www.batesgroup.com) has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. With a roster of nearly 200 financial industry and regulatory compliance experts, Bates provides solutions throughout the lifecycle of legal, regulatory, and compliance matters, offering services in AML and financial crimes, regulatory enforcement and internal investigations, compliance, risk management, litigation consultation and testimony, forensic accounting, and damages consulting. The Bates Compliance team of experienced compliance professionals provides comprehensive offerings and guidance for IA and BD clients, assisting with supervision, compliance, risk assessments, policies and procedures, annual compliance reviews and exams, AML and internal audit functions on an as-needed or ongoing basis. We closely review and test policies and procedures, supervisory and compliance processes while recommending changes to supplement and enhance compliance and supervisory systems, and to remediate the results of regulatory, litigation, and internal audit findings and decisions.