Brian A. Bates

Brian A. Bates


St. Ambrose University (B.A., 1982)
Notre Dame Law School (J.D., 1987)

Bar Admissions

New York

Brian Bates represents clients in a range of financing transactions, including private debt and equity placements, bank syndications, various bank finance products, high yield offerings, and mezzanine and LBO financings. He has a specialised practice representing non-U.S. entities that wish to make cross-border private placements of securities to U.S. and other large financial institutions and pension funds.

Mr. Bates is a cross-border private placement practitioner who practices almost exclusively on the issuer side of the table. Mr. Bates' private placement experience (both by way of issuance value and number of issues) in issuer-side cross-border placement representation far exceeds any other specialist cross-border private placement practice, providing solid, recent experience. During the course of the last several years, with respect to overall issues and dollar volume, Mr. Bates led his group in the representation of issuances of approximately 30% of total cross-border USPP debt. Mr. Bates has been recommended as a leading lawyer by Chambers Global 2018, Chambers Europe 2017, Chambers UK 2018, Legal 500 UK 2017 and IFLR1000 2017.  In 2016, Mr. Bates was named a leading “Innovative Lawyer” by the Financial Times for his work in connection with the project financing in connection with the building of the Sikuki Nuuk Harbor in Greenland.

In addition to having worked in private placement finance for well nearly 30 years, Mr. Bates continues to act as the sole "issuer-side" member of the Transactions Process Management Committee of the American College of Investment Counsel (ACIC) where he is a Fellow. The ACIC is responsible for the development of new Model Forms for the cross-border private placement market.

Mr. Bates is a member of the Bars of the States of New York and Illinois and a Registered Foreign Lawyer with the Law Society of England & Wales.

Brian Bates is recommended as a leading lawyer for debt capital markets by Chambers Global 2018, Chambers Europe 2017, Chambers UK 2018, Legal 500 UK 2017 and IFLR1000 2018. Mr. Bates is also ranked as an “expert based abroad” for Capital Markets debt and equity in the U.S.

IFLR 2019 Highly Regarded

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