Company Information

Get to know Bates & Company Inc.

Founded in 1981 as Bates & Company, Bates Group LLC is a trusted partner to financial services firms and their counsel. The company provides end-to-end solutions on legal, regulatory, and compliance matters. Their services include litigation support and expert testimony, regulatory and internal investigations, compliance consulting for broker-dealers and registered investment advisers, AML and financial crimes prevention, and specialized consulting for insurance, annuity, and institutional clients. The firm is nationally recognized for its extensive roster of industry experts and consultants who assist clients in navigating complex financial industry challenges.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

Contact

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Bates & Company Inc.

United States

Founded in

1987 (39 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Reviews

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Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.