Recent News
Bates Group at the 2019 NYSBA Annual Meeting
Bates is proud to be a Bronze Sponsor of the NY State Bar Association’s Women In Leadership Section Symposium at the 2019 Annual Meeting, Tuesday, January 15 in New York City. Bates Group NY/NJ Managing Director Susan Harper, Esq. will give the welcoming remarks and co-chair a panel. On Wednesday, January 16th, Susan will also participate on the NYSBA Presidential Summit.
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OCIE to Prioritize Protection of Retail Investors in 2019 Examinations
The SEC Office of Compliance Inspections and Examinations ("OCIE") will prioritize risks to retail investors in this year’s examinations. That concern is a distinguishing highlight of a new report summarizing OCIE assessments of regulatory issues, market risks and policy developments.
Additional featured priorities include continuing risks and concerns related to fee disclosures, share class, and wrap fee programs, anti-money laundering, cybersecurity, digital assets, FINRA and MSRB operations, and issues of compliance by registrants involved in critical market infrastructure. In this article, we review the new report, contrast this year’s priorities with those of the past few years in our annual Bates year-to-year SEC OCIE priorities chart, and consider some implications so that firms might better prepare and, if necessary, adjust their compliance systems accordingly.
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Bates Group Promotes Benjamin Pappas to President
Bates Group Chief Operating Officer Benjamin R. Pappas has been promoted to President of Bates Group LLC, the leading expert witness and consulting firm for the financial services industry. Bates Group CEO Jennifer L. Stout made the announcement on January 2nd, 2019.
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