News & Events – Bates Research

Ponzi scheme lawsuits are costly and complex. Learn the warning signs, common legal pitfalls, and defense strategies every financial institution should understand to reduce risk.

SARs are more than just filings—they're a window into your compliance program. Former regulators from Bates Group share the most common SAR mistakes, what triggers examiner scrutiny, and how to strengthen your filings before your next exam.

Outsourced Chief Compliance Officer (OCCO) solutions offer RIA firms a cost-effective, scalable approach to compliance. This article outlines seven key benefits that position OCCOs as strategic partners in growth, innovation, and regulatory readiness in today’s increasingly complex environment.

AML and fraud alerts may originate from the same department—but should they be worked the same way? This article explores why the timing, urgency, and operational requirements of fraud alerts differ from AML alerts, what examiners expect, and how organizational structure can support more effective investigations. Learn what your FinCrime team should consider when combining or separating these critical functions.

Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.

As third-party risk management evolves, financial institutions must adapt to new challenges,including oversight of vendor-deployed AI and deeper supply chains. This article explores how awareness and active risk management can help mitigate risks and empowering institutions to maintain control and accountability in a rapidly changing TPRM landscape.

Generic AML policies and training programs can leave institutions exposed to unnecessary risk and regulatory criticism. Learn how to design AML policies, procedures, and training that reflect your institution’s unique risk profile, moving beyond templates to create a truly risk-aligned program that stands up to examiner scrutiny.

As AML systems improve access to customer information, it has become easier to understand who is behind an alert. But what about the transactions themselves? This article explores why digging into the details of transactional activity remains essential to effective alert analysis and how over-relying on automation can leave real risks unchecked.

Oversight of FinCrimes systems and their vendors is a critical, yet often embedded, focus in federal and state examinations. This article explores the practical, year-round actions FinCrimes Officers can take to demonstrate effective vendor oversight—well beyond the annual risk assessment.

In complex litigation, asset tracing serves as a critical tool for uncovering financial truth and informing legal strategy. Our latest article from Managing Consultant Lindsey Dean outlines how methodical financial analysis can help build a "yellow brick road" that leads your case to resolution.

Explore Bates Group’s 2024 U.S. Economic and Capital Markets Chartbook for detailed analysis of equity markets, credit, private equity, and the broader economy. Tailored for financial professionals, regulators, and counsel, this essential resource highlights key trends shaping the financial landscape. Plus: Bonus infographic showcasing 100 years of market history.

Struggling to keep pace with BSA/AML and OFAC compliance demands? Discover how outsourced compliance services can provide flexible, expert support tailored to your needs, from interim leadership to risk assessments, monitoring, and training.

Discover the key trends shaping customer expectations in the evolving payments industry. From real-time transactions to sustainable practices, explore how payment providers can stay competitive and meet customer needs in 2025 and beyond.

2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts and emerging threats—and discover how financial institutions can stay agile in a rapidly evolving risk environment.

An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis can identify systemic issues across people, processes, and technology, guiding institutions toward targeted remediation and enhanced regulatory alignment.

RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions and drive long-term value creation.