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Batesgroup
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About Batesgroup
batesgroup.comBates Group is a financial services consulting firm that provides compliance, litigation, regulatory and data-analytics solutions for broker‑dealers, RIAs, banks, fintechs and MSBs. Their services include BD‑RIA compliance (registrations, reviews, CCO outsourcing, program build‑outs, regulatory supervision and exam support), data analytics for P&L/damages and trade investigations, BSA/AML risk assessments and policy development, and full‑service litigation and regulatory support including expert testimony. With 40 years of experience, Bates Group delivers customizable, end‑to‑end engagements that combine deep industry expertise and data‑driven analysis to help clients navigate exams, enforcement actions, disputes and complex regulatory challenges.
About Batesgroup
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
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