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News & Webpages
News - April 06 2023
On March 27, 2023, the SEC Division of Examinations issued a Risk Alert focused on compliance deficiencies found in examinations of newly…
News - April 05 2023
Are You Ready for a CFPB Examination? Bates Can Help
The Consumer Financial Protection Bureau (CFPB) engages in rigorous examinations of financial institutions to ensure that they follow all applicable laws and…
News - March 30 2023
In response to the threat from cyber actors “who use constantly evolving and sophisticated tactics, techniques, and procedures to cause harmful cybersecurity…
News - March 23 2023
Hear Bates Director Matt Summers Speak at the NMLS 2023 Annual Conference, April 3-6, 2023
Join Bates at the NMLS 2023 Annual Conference, April 3-6, 2023 in Phoenix. Hear Bates Director Matt Summers speak on the CSBS Money Transmitter model…
News - March 22 2023
On Our Radar: Crypto Legislative, Regulatory and Enforcement Roundup
Fast-moving events in the financial markets are underscoring the need for a workable digital asset legislative and regulatory framework. Ongoing volatility continues…
News - March 21 2023
Banking Update: Separating Fact from Speculation
In the aftermath of the collapse of three banking firms, Silvergate, Silicon Valley Bank and Signature Bank earlier in March, tensions in…
News - March 13 2023
Banking Alert: Silvergate Capital, Silicon Valley Bank, and Signature Bank
On Sunday, U.S. regulators seized Signature Bank, and on Friday, U.S. regulators seized the assets of Silicon Valley Bank (“SVB”). The seizure…
News - March 10 2023
What is the Purpose of Consumer Protection Laws?
Consumer protection laws are designed to protect consumers, to keep sellers honest and to protect purchases of goods from fraudulent or deceptive…
News - March 10 2023
Bates is a Proud Sponsor of the SIFMA C&L 2023 Annual Seminar - Booth #516
Bates is a proud returning sponsor of the SIFMA C&L 2023 Annual Seminar, March 12-15 at the Marriott Marquis San Diego Marina. Visit…
News - March 09 2023
Ira D. Hammerman Interviewed in ThinkAdvisor, Law360 on His Move to Bates
Publications including ThinkAdvisor, Law360, SIFMA SmartBrief, and Politico have all recently mentioned Ira D. Hammerman's new role as Bates Group Managing Director.
News - March 08 2023
In the coming months, the New Jersey legislature is expected to pass the Digital Asset and Blockchain Technology Act, a bill that…
News - March 06 2023
Bates Experts and Consultants to Speak at NASAA 2023 Enforcement Training
Bates Group Managing Consultant Lindsey Dean and Alison Jimenez, Independent Expert, to speak at the NASAA 2023 Enforcement Training, March 7-9, 2023. Online…
News - March 06 2023
Former SIFMA Executive VP & General Counsel Ira D. Hammerman Joins Bates Group as Managing Director
We are proud to announce that Ira D. Hammerman has joined Bates Group as Managing Director.
News - March 02 2023
FINRA Arbitration Update - February 2023
FINRA proposed amendments to the Codes of Arbitration Procedures for Customer Disputes and Industry Disputes that would affect the arbitrator list selection…
News - February 28 2023
Join Bates at the 2023 IAA Compliance Conference, March 12-14, 2023 in Washington, D.C.
Bates Compliance is a proud sponsor of the 2023 IAA Compliance Conference, March 12-14, 2023, in Washington, D.C.
News - February 20 2023
News - February 14 2023
SIFMA C&L Future Leaders CLE Program: “Lessons Learned from Crisis in the Financial Markets”
Bates is a proud sponsor of the upcoming CLE program "Lessons Learned from Crisis in the Financial Markets," Wednesday, February 15th in…
News - February 13 2023
Spotting and Reporting Romance Scams
Romance scams are a growing concern, as evidenced by The Federal Trade Commission’s report that romance fraud is one of the most…
News - February 10 2023
FINRA and SEC Increase Focus on Reg BI Compliance – What You Need to Know
In its latest annual report on examinations and risk monitoring, FINRA offered the regulator’s perspective on strengthening compliance programs on Reg BI…
News - February 07 2023
SEC Division of Examinations Announces 2023 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations has just released its 2023 examination priorities report, providing insights into its risk-based approach, including the areas it believes…
News - February 07 2023
Bates Managing Director Brandi Reynolds to speak at SWIFS Lunch and Learn February 14, 2023
Bates Group AML Compliance and Virtual Assets Managing Director Brandi Reynolds, CAMS-Audit, will appear at the upcoming SWIFS Lunch and Learn "Fireside Chat:…
News - February 06 2023
Are you a regulated financial institution that operates in New York? If so, it is important to familiarize yourself with the New…
News - February 03 2023
Meet Bates Group's Testifying experts specializing in Blockchain and Digital Assets, including Crypto and Virtual Currencies.
News - February 02 2023
NYDFS Guidance on Digital Asset Custody – What It Is and How to Comply
On January 23, 2023, the New York Department of Financial Services (NYDFS) issued new guidance on regulated entities which custody digital assets,…
News - January 24 2023
Issued on January 10, 2023, the comprehensive report from FINRA’s regulatory operations covers 24 topics addressing issues that "remain perennially important, with updates…
News - January 24 2023
New Cryptoasset Certification from ACAMS and Bates Group
Bates Group consultants Brandi Reynolds and John Ashley have combined their expertise with other AML, cryptoasset and law enforcement professionals to create…
News - January 23 2023
Brandi Reynolds Speaking on Cryptocurrency Webinar - Jan. 24, 2023
Bates Managing Director Brandi Reynolds is speaking on the "State of Cryptocurrency As We Head Into The New Year" at the ACAMS Colorado…
News - January 19 2023
Louisiana Puts in Place New Virtual Currency Business Activity License
Businesses that are interested in engaging in virtual currency activities in Louisiana must now take steps to file for a license from…
News - January 18 2023
Human Trafficking Prevention Month - January 2023
January is National Human Trafficking Prevention Month. Financial institutions play a critical role in helping to fight human smuggling and human trafficking by identifying…
News - January 17 2023
Bates Sponsors the NYSBA Annual Meeting 2023 and WILS Symposium, Jan 18-24, 2023
Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 19th Annual Edith I. Spivack Symposium and…
News - January 13 2023
New York Sets Guidance for Approval of Virtual Currency Activities
All New York banking organizations—and all New York licensed branches and agencies of foreign banking organizations—must get approval from the New York…