News & Events –

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at the 2019 NSCP National Conference October 23rd.

Bates Compliance Managing Director Robert Lavigne is quoted in a new article from Investment News.

Bates is proud to introduce our newest experts and consultants: Donna Bartlett, Frank Giorgio, Richard Rogoff and William Webb.

Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and Expert Consultant Hank Sanchez, Esq. Look for Hank at the 2019 NSCP National Conference, October 21-23 at the Hilton Baltimore. 

Bates Group welcomes Dennis Greenberg as the new Managing Director of Business Development for Bates AML and Financial Crimes.

Bates Group director and expert Greg Kyle was recently interviewed by CBS News for their MoneyWatch feature.

Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA Galaxy Stadium. Bates is a proud co-sponsor of this year's event.

Bates Group’s new Managed Document Review services enable organizations to leverage the advantages of highly experienced review specialists and technology-enabled e-discovery review solutions allowing you to focus your time and effort on the high-value tasks your legal team was hired to perform.

Josephine Vu is Bates Group's new Director of People and Culture.

A. Christine Davis, Bates Group's Director of Forensic Accounting and Financial Crimes, is on the faculty of Practising Law Institute's CLE program "Basics of Accounting for Lawyers 2019," taking place July 23-24, 2019 in San Francisco. The two-day program reviews how some common accounting concepts may emerge in legal work, and what lawyers should consider when encountering them. 

Bates Group is alerting counsel that we are seeing an uptick in option-related cases where firms offered their clients strategies to increase the yield in their investment portfolio, often involving options trading in order to earn premium income to enhance a portfolio’s regular returns. Bates staff and experts have provided both consulting and testimony services in matters involving options trading within a client account.

Bates Group is a proud sponsor of the SIFMA Regulation Best Interest Seminar on Wednesday, July 10 in Washington, D.C. Speakers will address the final Reg BI rule, form CRS, and the broader regulatory landscape. Look for financial services industry leader and Bates Senior Compliance Consultant Jerry Baker at the seminar!

Continuing in its efforts to prioritize the protection of retail investors, the SEC’s Office of Compliance Inspections and Examination (OCIE) has issued a new Risk Alert highlighting privacy and information security issues raised during examinations of registered investment advisers and broker-dealers. In this article, Bates Research takes a closer look at the new Alert and the OCIE’s emphasis on improving firms' compliance in safeguarding their clients' personal information.

Bates is proud to introduce four new experts and consultants: Jennifer Bergenfeld, Pamela O’Neill, Matthew Sekerke and Phil Swatzell.

Bates Group congratulates President Benjamin Pappas on his recognition as a 2019 "Forty Under 40" business leader by the Portland Business Journal.

Bates Research interviews our most senior experts to get their perspective on the latest regulatory and compliance concerns affecting clients today. We sat down with R. Gerald (“Jerry”) Baker, a Consultant with Bates Compliance Solutions, and an expert with over 45 years of financial services and compliance experience, and asked him to share his observations on some of the current challenges confronting broker dealers and RIAs.