Bates Group Launches RegTelligence- The number one source for intelligence on financial industry regulator behavior


RegTelligence™ is the first comprehensive database of all regulatory enforcement actions.

PR Newswire

LAKE OSWEGO, Ore., Sept. 9, 2015

LAKE OSWEGO, Ore., Sept. 9, 2015 /PRNewswire/ — 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 Snapshot 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
  • Performdue diligence for financial service firms
  • Createcompliance 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