Brian A. Bates

Brian A. Bates


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

Bar Admissions

New York

Brian represents clients in a wide 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 specialized practice representing non-U.S. entities that want to make cross-border private placements of securities to U.S. and other large financial institutions and pension funds.

He has extensive experience in cross-border private placements and practices almost exclusively on the issuer side of the table.

Brian’s private placement capabilities in issuer-side cross-border placement representation far exceed any other specialist cross-border private placement practice in both issuance value and number of issues. During the course of the last several years, with respect to overall issues and dollar volume, Brian led his group in the representation of issuances of approximately 30 percent of total cross-border USPP debt.

In addition to having worked in private placement finance for well over 30 years, Brian 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.

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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