News & Events

Discover how leading firms are transforming compliance into a strategic advantage. Join InvestorCOM’s live webinar, Compliance as a Business Enabler: Transforming Oversight into Opportunity, on July 17 at 1:00 PM ET, featuring Bates Group Managing Director Armin Sarabi. Gain actionable insights on enhancing advisor oversight, navigating regulatory shifts, and driving business growth through modern compliance practices.

AML and fraud alerts may originate from the same department—but should they be worked the same way? This article explores why the timing, urgency, and operational requirements of fraud alerts differ from AML alerts, what examiners expect, and how organizational structure can support more effective investigations. Learn what your FinCrime team should consider when combining or separating these critical functions.

Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.

As third-party risk management evolves, financial institutions must adapt to new challenges,including oversight of vendor-deployed AI and deeper supply chains. This article explores how awareness and active risk management can help mitigate risks and empowering institutions to maintain control and accountability in a rapidly changing TPRM landscape.

Meet Bates Group Directors Joe Thomas and Clay Grumke at the SIFMA C&L Midwest Regional Seminar on Tuesday, June 24th in St. Louis

The SEC has finalized amendments to Regulation S-P, requiring RIAs and other financial institutions to adopt breach response programs and notify clients of data incidents within 30 days. Learn key dates and how to prepare.

Discover key strategies to navigate regulatory exams for banks and fintechs in this CLE webinar featuring top legal and compliance experts.

The SEC has withdrawn multiple high-impact proposed rules affecting investment advisers, including those on custody, cybersecurity, ESG disclosures, and outsourcing. Learn what this means for your compliance program.

Generic AML policies and training programs can leave institutions exposed to unnecessary risk and regulatory criticism. Learn how to design AML policies, procedures, and training that reflect your institution’s unique risk profile, moving beyond templates to create a truly risk-aligned program that stands up to examiner scrutiny.

Starting in 2026, most SEC-registered investment advisers and exempt reporting advisers will be required by FinCEN to implement formal AML programs, file SARs, and comply with recordkeeping and information-sharing mandates under the BSA. Learn what your firm should do now to prepare.

As AML systems improve access to customer information, it has become easier to understand who is behind an alert. But what about the transactions themselves? This article explores why digging into the details of transactional activity remains essential to effective alert analysis and how over-relying on automation can leave real risks unchecked.

Oversight of FinCrimes systems and their vendors is a critical, yet often embedded, focus in federal and state examinations. This article explores the practical, year-round actions FinCrimes Officers can take to demonstrate effective vendor oversight—well beyond the annual risk assessment.

Join Bates Group and Duane Morris for a complimentary CLE webinar on May 20, 2025, exploring crypto scams, fraud detection, AML compliance, and consumer protection strategies in the digital asset space.

Meet Bates Group Senior Managing Director for Regulatory & Litigation Alex Russell at the Securities Enforcement Forum West 2025 on May 15 in Beverly Hills.

Join Brandi Reynolds of Bates Group at the ACFCS Crypto and Web3 Compliance Symposium 2025 on May 14. Explore AI, fraud prevention, and crypto compliance in her featured panel: Crypto Scams and Consumer Safeguards. Register now for expert insights and actionable strategies.

In complex litigation, asset tracing serves as a critical tool for uncovering financial truth and informing legal strategy. Our latest article from Managing Consultant Lindsey Dean outlines how methodical financial analysis can help build a "yellow brick road" that leads your case to resolution.