News & Events

The SEC’s Division of Examinations spotlights common Marketing Rule deficiencies tied to testimonials, endorsements, and third-party ratings. Here’s what advisers should review now.

As federal agencies pull back and state regulators expand their reach, financial institutions face more frequent state exams, varying standards, and intensified AML and consumer protection oversight. This article outlines practical steps to prepare for a state-driven supervisory environment.

The SEC Division of Examinations has released its 2026 Examination Priorities with a renewed focus on fiduciary standards, complex and illiquid products, cybersecurity and AI, AML and sanctions. Learn what these priorities mean for IAs, B-Ds, funds and other registrants.

Bates Group sponsors the 2025 NSCP National Conference in Orlando. Join us Oct. 26–29 for panels with Kurt Wachholz and Rhonda Davis.

The SEC’s focus on 529 Plan accounts, miscalculated investment advisory fees, and mutual fund share class selection continues into 2025–2026. Bates Group’s Regulatory and Investigations practice highlights key regulatory themes, emerging risks, and compliance challenges for financial institutions. Learn how firms can prepare for heightened scrutiny and strengthen practices in anticipation of enforcement activity.

The SEC has announced how its divisions are operating during the ongoing government shutdown. Examinations, registrations, and other non-emergency work have been deferred, while emergency response functions remain available.

Ponzi scheme lawsuits are costly and complex. Learn the warning signs, common legal pitfalls, and defense strategies every financial institution should understand to reduce risk.

Unlock compliance success with AI and learn how to embed governance, oversight, and regulator alignment in our upcoming financial services webinar.

Join Bates Group at the 2025 SIFMA C&L Southeast Regional Seminar in Charlotte. Hear from our experts on key issues in securities enforcement, bank regulation, litigation, crypto, AI, and more. Don’t miss this opportunity to connect and gain valuable insights from leaders in financial services compliance and litigation. CLE credit available.

Bates Group is attending the MTRA 2025 Annual Conference in Louisville, KY, September 8–9. Join us and fellow regulators, MSBs, and Fintech leaders for this key industry event on money transmitter regulation, licensing, and enforcement best practices.

Join Bates Group at Fintech South 2025, Aug. 19–20 in Atlanta. Don’t miss Robin Garrison’s featured panel on AI-driven financial regulation.

Join us August 18 for Nelson Mullins’ annual Fintech Banking School, kicking off Fintech South 2025. Bates Group is a proud co-sponsor.

Join leading industry experts from Kraken, Gusto, and Bates Group for a deep dive into the shifting landscape of fraud and compliance and what it takes to build a successful AML program. With the right data, smarter workflows, and advanced analytics, transforming your AML approach can be seamless, and easier than you think.

SARs are more than just filings—they're a window into your compliance program. Former regulators from Bates Group share the most common SAR mistakes, what triggers examiner scrutiny, and how to strengthen your filings before your next exam.

Outsourced Chief Compliance Officer (OCCO) solutions offer RIA firms a cost-effective, scalable approach to compliance. This article outlines seven key benefits that position OCCOs as strategic partners in growth, innovation, and regulatory readiness in today’s increasingly complex environment.

FinCEN has delayed the effective date for the IA AML Rule to Jan 2028 and signals plans to revisit the rule through a new rulemaking process.