News & Events

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

This is the second installment in a three-part series discussing personal liability for compliance professionals. This week we will take a look at regulators’ perceptions of their enforcement activity and what this trend might mean for compliance professionals moving forward.

This is the first installment in a three-part series discussing personal liability for compliance professionals. This week we will look at the growing trend of regulatory enforcement activity against compliance professionals and the perception within the compliance industry of increased personal risk. 

President elect Donald Trump has promised to overhaul all aspects of Federal regulation within the United States, and as a result there has been a great deal of speculation as to what that might mean for securities regulation, oversight, and especially enforcement for the next four years.

Bates Group is pleased to announce that Andrew Daniel, Bates Group Director, Securities Litigation Expert and Consultant, will be a featured speaker at the 2016 Securities Symposium, sponsored by the Greensfelder law firm and The Bar Association of Metropolitan St. Louis, on Wednesday, November 16, 2016.

While we are still enjoying the fall weather (and now processing the post-election news), securities regulators are busy thinking about critical 2017 priorities. Regulators from the FINRA, SEC and CFTC all previewed their 2017 priorities for attendees at SIFMA’s 2016 NY Regional Conference, held last Wednesday, November 2nd, at the New York Marriott Marquis.

On October 26th, the Special Inspector General for the Troubled Asset Relief Program (“SIGTARP”), Christy Goldsmith Romero, issued her fourth quarter 2016 report in which she proposed a reform designed to “bring accountability” to high-level executives by requiring a crime and fraud certification that is modeled after the annual Sarbanes-Oxley certification requirements.

Joseph “Joe” Thomas, Principal and Expert with Bates Group, is quoted in an Ignites (FT's Mutual Funds industry publication) article on the new proposed FINRA rule concerning vulnerable and elderly clients.  Click to read the full story.

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Last week we focused on the important topic of elder and diminished capacity investors through a Q&A with elder investor expert Joe Thomas. Our timing couldn’t have been better, because FINRA announced (on the same morning our post went live) that it has sent a proposed new rule and rule amendments to the SEC that would allow for better protection of senior investors.   

A Q&A Interview with Bates Elder Investor Expert Joseph J. Thomas

Visit Bates Compliance Solutions leaders at the 2016 NSCP Compliance Conference - Booth 24!

We’ve often been asked the question, “Which securities product causes the most enforcement actions?” To formulate our answer, we undertook a deep analysis of the data available to us in our RegTelligence® database.

Bates Group Consulting Expert Susan Berger and Consultant Geoff Winkler had the pleasure of representing Bates at the 2016 Anti-Money Laundering (“AML”) and Financial Crimes Conference presented by the Association of Certified Anti-Money Laundering Specialists (ACAMS) last week in Las Vegas, Nevada. There were dozens of speakers representing regulatory agencies, financial institutions and consulting firms, and below are some of the key AML and financial crimes issues they identified facing the financial industry today: 

This week’s post builds upon a recent presentation given by Jennifer Stout, President/Chief Executive Officer of Bates Group, and David Birnbaum, Managing Director of Business Development and Strategy, at the annual Independent Broker Dealer Consortium conference, where they discussed winning strategies to maximize your impact from expert witnesses.

Bates Group is proud to announce that Jennifer Stout, President/CEO, and David Birnbaum, Managing Director of Business Development & Strategy, will be speaking on Wednesday, September 28 at the 2016 Independent Broker Dealer Consortium (IBDC) Conference taking place in Phoenix, Arizona.