News & Events –

The Fifth Circuit Court of Appeals has issued a ruling vacating the SEC's previously adopted rule package for private fund advisers. 

The SEC has voted to finalize its proposed amendments to rules governing the protection of clients’ non-public personal information (PII). What are the important changes in the final rule?

New guidance from regulators highlights the importance of strong Third-Party Risk Management (TPRM) for community banks offering Banking-as-a-Service (BaaS). The article explores the benefits and risks of BaaS relationships and provides key next steps for Risk Managers in community banks.

Recent reports indicate a rise in Bank Secrecy Act (BSA) enforcement actions. However, consent orders focus on data & tech across compliance areas instead of in a dedicated section. This article unveils how regulators address these critical elements – and what it might mean for your institution.

On May 13, The SEC and FinCEN jointly proposed a new rule requiring certain advisors to implement Customer Identification Programs (CIPs). This move aims to strengthen anti-money laundering (AML) and counter-terrorism financing (CFT) efforts within the investment sector.

Discover strategies for optimizing AML rule sets and enhancing alert efficiency during this live webinar featuring industry leaders from Bates Group, Gusto, Ava Labs, and FirstBank.

Join Bates Group leaders and experts at the 2024 FINRA Annual Conference, May 14-16 in Washington, D.C., and get solutions for your ongoing compliance, regulatory and litigation matters. 

Join Bates at the 2024 IPA Innovative Payments Conference, May 5-7 at the Grand Hyatt in Washington, D.C.

The U.S. Department of Labor has announced the finalization of the Retirement Security Rule, updating the definition of an "investment advice fiduciary."

In a financial institution dedicated to Privacy compliance, the Privacy Officer does much more than manage the Privacy Policy and oversee the sending of the initial and annual Privacy Notices. In this article we look at the multiple departments, disciplines, and skillsets needed for effective management of the Privacy function.

Bates Group Managing Director Brandi Reynolds will appear on the panel in a new webinar from ACAMS on April 30, 2024. This AFC in Practice session explores how law enforcement and the crypto industry can work better together to prevent financial crime.

Bates Group is a proud Platinum Sponsor of the FSDA Industry Outreach Program "2024: Getting Back on Track," April 18, 2024 at the University of South Florida CAMLS center. Hear from industry professionals, regulators, and the country's top experts on industry trends, regulatory challenges, and what the rest of 2024 and the future hold.

Join Bates Compliance Managing Director Hank Sanchez at the NSCP Interactive Compliance Labs, April 18th, 2024 on location at California Sate University, Long Beach.

With the increase in the number of financial institutions that are banking Fintechs, there has been a corresponding increase in regulatory scrutiny over this space. In this article, we look at the three fundamental disconnects occurring in the AML and Fraud risk management systems of financial institutions that bank Fintechs, and what can be done to avoid falling under a regulatory consent order.

Bates Group Managing Director Christopher Riper will be speaking on the “Continuing Challenges with Off-Channel Communications” panel at FMA's 2024 Securities Compliance Seminar in Chicago - Thursday, April 18 from 1:15 to 2:15 pm.

Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2023. From Bates Group Director Greg Kyle and CEO Ben Pappas.