Lake Oswego, Oregon — Bates Group LLC, the nation’s leading provider of financial industry expertise, today announced RegTelligence™, a game-changing, unified source for SEC, FINRA, CFTC, and other federal agencies, state and foreign regulatory enforcement actions involving investment advisors, dually-registered firms and affiliates.
“RegTelligence™ is a one-of-a-kind database of financial services regulatory enforcement actions,” said Jennifer Stout, President/CEO of Bates Group. “It allows financial services attorneys, compliance officers and risk professionals to gain a high level of visibility across the U.S. and international regulatory landscape and assess risk exposure to regulatory scrutiny all in one place.”
RegTelligence™ features an easy-to-read snapshots of key areas of regulatory scrutiny and collects data on over 30,000 investment advisors, dually-registered firms and affiliates, providing more than 10 years of historical reporting data for review.
RegTelligence™ analytics reports provide deeper insights into all of the data presented in the Snapshot report, allowing subscribers to:
- Gain insight into regulatory actions and sanctions
- Educate clients and inform strategies
- Identify regulatory trends
- Benchmark against peers
- Perform due diligence for financial service firms
- Create compliance analytics with ease
“RegTelligence™ allows subscribers to analyze regulatory actions that previously involved manually intensive searches of several databases,” said Alex Russell, Head of Research Analytics. “This saves them time and provides a comprehensive view of all regulatory enforcement activity across every regulator they deal with.”
Learn more about the Snapshot and analytics reports at www.regtelligence.com.
ABOUT BATES GROUP LLC
Founded in 1981, Bates Group LLC is the nation’s leading provider of financial services expertise, including securities litigation and arbitration support, internal and regulatory investigations and responses, research and intelligence, compliance consulting, expert testimony, and forensic and damages analyses consulting. Bates offers end-to-end solutions for financial services firms, their counsel and key decision makers, providing support throughout the lifecycle of their legal matters. Its growing list of 70 experts and consultants throughout the United States support clients conducting regulatory and internal investigations, consult and testify in SEC and regulatory matters, FINRA/AAA/JAMS arbitrations, state and federal court proceedings, and provide compliance and risk reviews, testing and complete firm solutions. With more than three decades of experience working with leading Fortune 500 companies, law firms, financial services companies and regulatory bodies worldwide, Bates Group LLC continues to put clients first in setting industry standards. Learn more at www.batesgroupllc.com.
SOURCE Bates Group LLC