News & Events –

Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. to learn about practical insights and best practices that can help you maintain a successful compliance program.

AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide to the future of intelligent automation.

We’re excited to share that Brandi Reynolds will be speaking at Mastercard’s Global Fintech Week Event February 24, 2025

FINRA’s 2025 Regulatory Oversight Report highlights key compliance priorities, including AML system testing, FINOP obligations, AI in financial services, investment fraud risks, and third-party vendor vulnerabilities. Our Bates Comparison Chart tracks how these priorities have evolved year over year.

Connect with Bates Group in San Juan, Puerto Rico for the 21st Annual Puerto Rican Symposium of AML.

Regulatory opacity and overreach are forcing legitimate crypto firms out of banking. Learn how outdated policies impact financial access and what reforms are needed to fix the system.

Discover how outsourced Chief Compliance Officer (CCO) solutions can help RIA firms enhance compliance, manage costs, and drive growth. Learn the seven key benefits today.

Connect with Bates Group at the 2025 NMLS Annual Conference & Training in Atlanta from February 11-14

Bates Group sponsors "One Great Night," February 4, 2025, hosted by SWIFS and FSDA. Join us for industry insights, networking, and a wine auction supporting Pace Center for Girls.

Brandi Reynolds has been named Co-Chair of the Blockchain Association’s Compliance Working Group, leading efforts to shape crypto compliance standards and regulatory best practices.

Bates Group provides expert guidance and tailored solutions to help organizations mitigate AI-related risks, ensure regulatory compliance, and optimize AI strategies for long-term success. As the financial landscape evolves, institutions that effectively leverage AI while managing its risks will position themselves as industry leaders in innovation and efficiency.

Join Bates Group and Steptoe for an exciting live CLE program regarding emerging trends and key points of interest for crypto businesses and investors.

FINRA has published its 2025 Regulatory Oversight Report, highlighting key compliance insights, emerging risks, and new regulatory developments for member firms.

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.

Explore the six key pillars of a risk management framework tailored for banks, MSBs, and crypto firms in the transformative Banking as a Service (BaaS) era.

As regulatory scrutiny intensifies, BSA Officers face increasing challenges in executing their vital risk management responsibilities. Our latest article explores common hurdles these compliance leaders encounter and provides actionable strategies for maintaining effectiveness while protecting their careers.