Recent News
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.
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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.”
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Bates Group Welcomes Financial Services Industry Leader and Consultant Gerald Baker
Bates Group is pleased to welcome Gerald (“Jerry”) Baker, Financial Services Industry Leader and Consultant, to Bates Compliance Solutions. With over 45 years of Financial Services and Compliance experience, Mr. Baker brings a wealth of industry knowledge and expertise, having developed compliance programs and managed Compliance Department functions at major U.S. securities and financial services firms. He provides compliance and supervisory consulting and training, serving clients at financial services firms, trade associations and regulatory organizations.
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