News & Events

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.

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.

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.

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.

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.