08-14-23
Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto concerning the Securities and Exchange Commission’s recent July 26, 2023 proposal around mitigating conflicts of interest relating to predictive data analytics and the implications, including with Reg BI.
08-02-23
Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by ComplyAdvantage and featuring Bates Managing Director Brandi Reynolds.
07-26-23
Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation perspective. July 19th and 26th, 2023, at 2 p.m. ET.
07-19-23
Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management.
06-30-23
State Legislatures in Louisiana and North Dakota have recently enacted or adopted new rules for virtual currency and money transmitters. Bates has the details in this new alert.
06-22-23
Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.
06-20-23
Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want You to Know." June 20, 2023 from 12 - 1 p.m. ET.
06-16-23
SEC Exams Division staff issued a new risk alert on June 8, 2023, noting they will be reviewing additional Marketing Rule areas of emphasis.
06-15-23
Elder abuse is a devastating problem that affects millions of seniors every year. In its 2022 Elder Fraud Report, the FBI’s Internet Crime Complaint Center reported total losses of $3.1 billion reported by victims over 60 years old—an 84 percent increase in losses from 2021. This alarming statistic reveals just how important it is to be aware of elder abuse and take steps to prevent it.
06-14-23
How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join this upcoming webinar from NYCLA for a discussion of best practices, common pitfalls to avoid, ethical obligations, and FINRA investigation priorities for 2023.
06-14-23
Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis, MO.
06-06-23
Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New York City
05-24-23
Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by the American Bankers Association.
05-24-23
Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto Conference, May 24, 2023.
05-16-23
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in Washington, D.C.
05-12-23
AI and algorithms have wide usage but bring unique risks to organizations, including compliance risks due to potential bias, discrimination, and data breaches. The FTC issued guidance in April 2023 to help manage these risks and protect consumers.