Bates Group Selects BasisCode as Compliance Software Platform Partner

Bates Compliance Consulting Practice Will Utilize BasisCode to Optimize Delivery of its Client Consulting Services


ATLANTA, GEORGIA, US, December 1, 2020 / — Bates Group LLC has adopted the BasisCode Compliance™ software platform to serve as the compliance management and service delivery vehicle for its Bates Compliance consulting practice.

“We’ve been evaluating the evolving needs of our compliance consulting clients, and looking for a software platform that could address their needs while optimizing our own ability to enhance the delivery of our consulting services,” said Jennifer L. Stout, Chief Executive Officer of Bates Group. “When we discovered BasisCode Compliance, we were confident that this solution would enable us to improve our efficiency and strengthen our ability to support our clients.”

The Bates Group is a litigation, regulatory and compliance consulting partner to leading Fortune 500 companies, law firms, registered investment advisers, broker-dealers, hedge & private equity funds, investment companies and financial professionals.

“We are excited about adding one of the industry’s leading compliance consulting firms to our growing list of partners,” said Carlos Guillen, President & CEO, BasisCode Compliance. “Knowing Bates’ dedication to delivering superior services to their clients, we are proud to be able to provide the robust framework for their expanding services and evolving needs. The Bates relationship solidifies BasisCode’s positioning as a leader in Regtech.”

BasisCode Compliance’s cloud-based software suite is used by over 400 organizations globally, and has a 99% retention rate among its clients, which includes leading compliance consulting firms. The comprehensive platform helps improve compliance management for financial firms and compliance consultants by simplifying processes ranging from compliance testing and risk assessment to trading surveillance, insider trading and staff certifications.

About Bates Group
Bates Group ( 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.

About BasisCode Compliance: Founded in 2011, BasisCode Compliance LLC is the first compliance software company to reverse engineer a complete governance, risk and compliance (GRC) solution, including Code of Ethics administration. The scalable, fully integrated and always audit-ready software platform manages the risk lifecycle from identification to resolution. It enhances compliance controls and decision-making to safeguard each firm and its clients. Over 400 organizations globally rely on BasisCode.

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Source: EIN Presswire