Raising Capital

Buying and Selling Assets

Merging with Partners

Forming New Ventures and Funds

Structuring/Restructuring Operations

Navigating Government Regulations and Tax Regimes

Protecting Intellectual Property and Data

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.

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.

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).

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.

Annuity and Insurance product support and actuarial services for regulatory response and litigation.

SEC Regulation Best Interest (Reg BI) compliance is an expansive regulatory challenge that impacts the fundamental business structure of financial services organizations as it creates new regulatory and compliance risks. The development of core Reg BI compliance and supervisory components will help firms address the burden of compliance departments in the broker-dealer industry.