06-18-26
The SEC Examinations Staff issued a Risk Alert on June 9, 2026 on investment adviser obligations related to economic conflicts of interest, covering undisclosed revenue arrangements, fee billing deviations, Form ADV gaps, and compliance program deficiencies.
06-03-26
Regulation S-P compliance deadline arrives as SEC examiners focus on cybersecurity controls, incident response, vendor oversight, and data protection.
06-03-26
Meet Bates Group at the 2026 SIFMA AML & Financial Crimes Conference in New York to discuss AML compliance, fraud prevention, and regulatory trends.
06-03-26
Join Bates Group's Hank Sanchez at the 2026 NSCP Compliance Labs in Dallas for expert-led compliance training, regulatory insights, and practical workshops.
05-21-26
Download Bates Group’s annual U.S. Economic and Capital Markets Chartbook featuring key economic trends, market data, and investment insights for FY2025.
05-20-26
Join Bates Group at the 2026 NSCP Compliance Lab in Miami for hands-on training, real-world scenarios, and expert-led financial compliance insights.
05-18-26
FINRA Forward introduces new exam scheduling and early findings options to help broker-dealers improve compliance efficiency.
05-14-26
Explore SEC 2026 exam priorities with a five-year trend chart highlighting key compliance focus areas like cybersecurity, fiduciary duty, and risk management.
05-12-26
Bates Group will be at the 2026 FINRA Annual Conference May 12-14, covering key regulatory trends, compliance insights, and industry networking in Washington, D.C.
05-07-26
Explore rising enforcement risks in prediction markets as regulators increase scrutiny on insider trading, compliance, and event contract oversight.
04-21-26
SEC and CFTC propose Form PF amendments to ease reporting burdens, raise thresholds, and streamline compliance for private fund advisers.
03-22-26
Bates Group is a proud sponsor of the 2026 SIFMA C&L Annual Seminar, uniting financial industry compliance and legal leaders in Orlando March 22–25, 2026.
03-18-26
Join Bates Group at the 2026 IAA Compliance Conference for insights on compliance, regulatory trends, and best practices for investment advisers.
02-25-26
Bates Group announces leadership transition as Benjamin Pappas steps down; Alex Russell and Rhonda Davis named Co-CEOs to lead continued growth.
02-17-26
Matt Summers represents Bates Group at the NMLS 2026 Annual Conference & Training Feb 17–20 in Orlando, connecting with regulators, licensing professionals, and compliance leaders.
02-12-26
FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags and inadequate controls.