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Navigating the Money Transmitter Licensing Process
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03-03-22

Navigating the Money Transmitter Licensing Process

Determining if you are a money transmitter and then navigating the licensing requirements can be a daunting task. This guide is meant to ease the pain of that process with some helpful tips as well as great resources. We'll take a look at who needs a money transmitter license, what the licensing process involves, and other helpful resources.

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Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

03-03-22

Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4. 2022. Visit our booth in the exhibit hall and connect with Bates leaders Jennifer Stout, Rory O'Connor and Hank Sanchez to hear about practical insights and best practices that can help you maintain a successful compliance program. Bates Compliance Managing Director Kurt Wachholz will be speaking on the panel "Ethics for Advisers: Compliance with Fiduciary Standards - Part 2" on Friday, March 4 from 8-9 a.m.

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SEC Targets More Firms for Form CRS Failings: Is Your Firm Next?

02-28-22

SEC Targets More Firms for Form CRS Failings: Is Your Firm Next?

In a press release touting twelve additional enforcement actions against firms for failing to provide complete information on, file, or deliver Form CRS to retail investors, the SEC announced settlements against six investment advisers and six broker-dealers. That message underscores the agency’s intention to hold firms accountable for making these disclosures. Read our Alert for details on the SEC's findings, the settlements, and what they could mean for your firm and clients.

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FinCEN Roundup: Recent Developments, Rulemakings on Anti-Money Laundering
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02-24-22

FinCEN Roundup: Recent Developments, Rulemakings on Anti-Money Laundering

On January 1, 2021, the Anti-Money Laundering Act ("AMLA") became law. The far-reaching legislation expanded the Bank Secrecy Act regulatory framework by, among other things, establishing a beneficial non-public ownership database and reporting requirements under AMLA’s Corporate Transparency Act; promoting technology and other innovation to support enforcement, particularly concerning SARs; expanding enforcement authority over art, antiquities and real estate; and increasing penalties for AML violations. The story of FinCEN’s regulatory efforts since the passage of AMLA is the story of the agency working to effectuate those mandates. In this post, Bates looks at where we are in that story with the following regulatory developments.

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FINRA Releases 2022 Exam and Risk Monitoring Report - Plus Bates’ Annual FINRA Chart
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02-18-22

FINRA Releases 2022 Exam and Risk Monitoring Report - Plus Bates’ Annual FINRA Chart

Issued on February 9th, 2022, the FINRA 2022 Exam and Risk Monitoring Report highlights several new areas of FINRA focus that back up the regulator's current theme of protection of retail investors, including, for example, first-time attention to FINRA rules on trusted contacts, funding portals and crowdfunding offerings. Bates reviews those new topics and the selected highlights as we adapt our own annual summary Chart to better reflect the changing FINRA approach.

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2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar

02-17-22

2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar

Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related litigation, regulatory and enforcement areas to keep an eye on in 2022. Bates Group Managing Director Alex Russell will be joining the panel to discuss Regulatory issues and updates. Thursday, February 17th from 1:00 - 2:00 p.m. ET.

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Crypto Regulation: Speed and Size of Evolving Market Creates Urgent Need for Framework

02-04-22

Crypto Regulation: Speed and Size of Evolving Market Creates Urgent Need for Framework

In 2021, the market for cryptocurrencies nearly tripled to more than $2 trillion. Recent movement toward some framework over cryptocurrency seeks to balance supporting innovation while reducing risk, but the speed and size of the complex and evolving market is creating urgency. It is now clear that all the players across the executive and legislative landscape are engaged. Here’s a brief update on the latest developments.

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Celebrating Black History Month 2022

02-02-22

Celebrating Black History Month 2022

Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black Americans in the fields of Finance, Banking, and Investing.

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Join Bates at the 2022 NYSBA Annual Meeting and Presidential Summit

01-20-22

Join Bates at the 2022 NYSBA Annual Meeting and Presidential Summit

Bates is proud to participate in the 2022 New York State Bar Association Annual Meeting and its marquee event, the Presidential Summit, on Thursday, January 20, 2022. Led by NYSBA President T. Andrew Brown, the Summit will focus on two of the leading social justice and civil rights matters of the day: a reevaluation of the #MeToo Movement, and the intersection of transgender rights and sports. Bates Group Managing Director Susan Harper will moderate the #MeToo panel, and NY State Attorney General Letitia James will deliver the keynote address.

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NYSBA Annual Meeting 2022 - Bates is Proud to Sponsor the Women In Law Section Symposium Jan. 18 & 25

01-18-22

NYSBA Annual Meeting 2022 - Bates is Proud to Sponsor the Women In Law Section Symposium Jan. 18 & 25

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 18th Annual Edith I. Spivack Symposium – "Women Leaders: Driving Change by Opening Doors and Raising Our Voices" – and the Kay Crawford Murray Memorial Award program honoring an outstanding attorney who recognizes the value of diversity and mentoring in the legal profession. This two-day virtual event will be held during the 2022 NYSBA Annual Meeting on January 18 and 25, 2022. Registration is now open.

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