Recent News
Susan Harper to Speak at PLI’s 2018 Securities Arbitration Program on Use of Experts
Bates Group Managing Director NY/NJ Susan L. Harper will be speaking on the Practicing Law Institute’s Securities Arbitration 2018 panel, “A Practicum on the Use of Experts,” in New York City, September 26, 2018.
Full Article
FINRA Report Cites Greater Use of RegTech, Warns of Regulatory Implications
Despite RegTech’s “potential to fundamentally transform how securities industry participants perform their compliance obligations,” RegTech tools also raise “new challenges and regulatory implications” that affect “supervision, vendor management, data privacy and security.” That is the explicit assumption underlying a new FINRA white paper summarizing the results of the SRO’s extensive outreach on the subject. Bates Research takes a closer look.
Full Article
Bates In the Media – Spotlight on Managing Director Bob Lavigne
Bates Managing Director of Compliance Solutions Robert “Bob” Lavigne was quoted by Investment News in its in-depth story entitled “SEC Advice Rule Contains a Huge Hole.”
Full Article