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Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

02-14-17

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee

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02-08-17

The Beginning of the End of the Fiduciary Duty Rule?

In one of his first acts in office, Donald J. Trump issued a Presidential Memorandum on the DOL Fiduciary Duty Rule. The President directed the Department of Labor to examine the Rule to determine whether it may “adversely affect the ability of Americans to gain access to retirement information and financial advice.” 

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Regulators use Big Data to turn up enforcement heat

01-30-17

Regulators use Big Data to turn up enforcement heat

Over 100 people attended our SIFMA/Bates Group Leaders and Experts Forum in New York City last Thursday: “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” InvestmentNews caught up with Bates Director of Institutional & Complex Litigation Alex Russell concerning the growing use of big data and data analytics to drive regulatory enforcement, a topic of great interest at the Forum.

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01-26-17

Markets 2016: A Look Back

For many investors, 2016 was a roller coaster ride in the equity markets. The year started off on a surprisingly low note, with the broader market experiencing the worst opening week in history. The S&P 500 Index fell 6% in the first five days of trading, and by mid-February, the equity index had fallen 15%. However, the S&P 500 Index did manage to finish the year up 10%, despite the uncertainty created by ...

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01-18-17

SEC 2017 Priorities: Increased Scrutiny of Advisers Announced

The SEC has released its examination priorities for 2017, which contain a continuation of many priorities from last year, as well as some new areas of focus.  Just as we did last week when we covered FINRA’s 2017 priorities, this week we will concentrate largely on new SEC initiatives, with some attention to those initiatives which are continuations of earlier priorities.

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01-10-17

FINRA 2017 Priorities: Regulator Moves Away From “Culture Of Compliance”

Last week FINRA released its Regulatory and Examination Priorities Letter for 2017.  The letter outlined fewer priorities than in previous years, and it gives a more tangible set of marching orders than firms have received in at least two years.  We will examine the major themes of some of these changes below, rather than focusing on those aspects of the letter that are continuations of previous enforcement agendas.

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12-14-16

Personal Liability for Compliance Professionals III

This is the final installment in a three-part series discussing personal liability for compliance professionals. This week we will take a look at the impact this is having on the industry and the steps some CCOs are taking to minimize their personal liability.

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