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News & Webpages
News - August 15 2023
Live Webinar - Asset Custody: Regulations and Best Practices
Join us for an informative live webinar where we will delve into the crucial aspects of managing asset custody, including regulatory requirements, best…
News - August 14 2023
Bates Expert Patrick Cox Quoted in Financial Advisor IQ Article on New SEC Proposal
Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto concerning the Securities and Exchange…
News - August 02 2023
Webinar: How to Make Adverse Media Your Secret Risk Detection Weapon
Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by…
News - July 26 2023
Join Bates for the MSBA Lunch & Learn Series on MTMA implementation - July 19 & July 26
Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation…
News - July 19 2023
Webinar - Risk Assessments: The Compliance Officer’s Trusty Sidekick!
Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management.
News - June 30 2023
State Legislatures in Louisiana and North Dakota have recently enacted or adopted new rules for virtual currency and money transmitters. Bates has the…
News - June 22 2023
Bates is a Proud Sponsor of the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC
Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.
News - June 20 2023
Webinar - Managing Risk: What Your Banks Want You to Know
Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want…
News - June 16 2023
Investment Adviser New Marketing Rule Examinations Focus on Additional Areas
SEC Exams Division staff issued a new risk alert on June 8, 2023, noting they will be reviewing additional Marketing Rule areas of…
News - June 15 2023
Preventing Elder Financial Exploitation: Solutions to a Growing Threat
Elder abuse is a devastating problem that affects millions of seniors every year. In its 2022 Elder Fraud Report, the FBI’s Internet Crime…
News - June 14 2023
How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join…
News - June 14 2023
Join Bates at the SIFMA C&L Regional St. Louis, June 14, 2023
Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis,…
News - June 06 2023
Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New…
News - May 24 2023
Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by…
News - May 24 2023
Brandi Reynolds to Speak at the 2023 1CryptoWorld Virtual Conference - May 24, 2023
Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto…
News - May 16 2023
Meet Bates Leaders at the 2023 FINRA Annual Conference
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in…
News - May 12 2023
The Compliance Risk of Artificial Intelligence
AI and algorithms have wide usage but bring unique risks to organizations, including compliance risks due to potential bias, discrimination, and data…
News - May 10 2023
Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division…
News - May 07 2023
Bates Sponsors IBDC-RIAC Risk Management Conference May 7-10, 2023 - Ira D. Hammerman Speaking
Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our…
News - May 05 2023
In a recent Staff Bulletin, SEC staff clarified care obligations for broker-dealers and investment advisers towards retail clients. Both the Reg BI…
News - May 04 2023
MTMA Provides Uniform Framework for Licensing and Regulation of Money Transmitters
The Money Transmission Modernization Act (MTMA) was created to modernize the money transmission industry by allowing for comprehensive standards and requirements that…
News - May 03 2023
Join Bates at SIFMA’s 2023 Private Client Conference - May 3-5
Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale,…
News - May 02 2023
Bates Sponsors SWIFS Spring Symposium May 2, 2023
Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg,…
News - April 27 2023
FINRA and the SEC are increasingly focused on manipulative trading practices, such as wash sales and front running, due to an uptick…
News - April 26 2023
Meet Bates AML & Compliance Crypto Leaders at Consensus 2023 - April 26-28 in Austin, TX
Meet Bates Group crypto leaders Brandi Reynolds and John Ashley at CoinDesk's Consensus 2023 conference, April 26-28, 2023 in Austin, TX.
News - April 26 2023
Bates Group Appoints Benjamin R. Pappas as CEO
Bates is proud to announce the appointment of Benjamin R. Pappas as Chief Executive Officer, effective immediately. Previously, Pappas was Bates Group’s President,…
News - April 21 2023
Bates Sponsors the 2023 FSDA Industry Outreach Program - April 21, 2023
Bates is a proud Diamond Sponsor of the FSDA Industry Outreach Program "2023: Unmasking Market Opportunities." April 21, 2023 at the Boca Raton…
News - April 19 2023
Crypto Webinar April 19 - The Convergence of Crypto and TradFi Compliance & Regulation
Join Bates Group Managing Consultant John Ashley along with experts from Alloy and Chainalysis on this new webinar as they discuss regulatory compliance…
News - April 18 2023
OFAC Modernizes Website, Making It Easier to Search Database and Remain Compliant
OFAC has recently made updates to its website designed to make it easier for users to find guidance on specific industries, use…
News - April 18 2023
Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez will be speaking on panels at the NSCP Interactive Compliance Lab - April…
News - April 11 2023
Meet the Newest Bates Testifying and Consulting Experts
Bates Group welcomes our newest consulting and testifying experts:
Nicholas Bowman, CFP®, CEP®, MSPFP
James A. Kamradt
Bridget McNamara-Fenesy, JD
David M.…
News - April 06 2023
Economic and Capital Markets Analysis: 2022 Year in Review U.S. Chartbook
Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2022. From Bates Group Director Greg Kyle and President…