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News & Webpages
News - September 07 2022
Bates Welcomes New Experts and Consultants
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Erin Baskett, CPA, CGMA - Brokerage, Investment Advisory, Cryptocurrency Consulting
Patrick Cox - Fintech and…
News - September 02 2022
2022 Summer Roundup – What You Missed, What Is Happening This Fall
Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in…
News - August 31 2022
Continuing to grow and expand its national reach, Bates Group welcomes Paul Lambert as a Strategic Advisor and Consulting Expert. A 30-year…
Webpage
News - August 30 2022
FINRA remained active this summer with a series of important proposed rule changes and risk-related compliance reminders. Here’s a summary to keep…
Webpage
News - August 25 2022
New Developments for New York BitLicense Holders and Applicants
Responding to the growing popularity of Bitcoin and other cryptocurrencies, in 2015 the New York Superintendent of Financial Services came up with the…
News - August 24 2022
We’ve Moved! Bates Relocates to Lincoln Center in Portland
The Bates main office has recently relocated from Lake Oswego to Portland.
News - August 23 2022
Did Shakespeare get it right? Is past really prologue when it comes to your mutual fund share class selection, conflicts, and disclosures? Find…
News - August 18 2022
SEC Staff Offers Additional Guidance on BD and IA Conflicts of Interest
On August 3, 2022, SEC staff issued new guidance addressing conflicts of interest under the Regulation Best Interest (“Reg BI”) standard for…
News - August 15 2022
Bates Managing Director Julie Johnstone was quoted in a recent InvestmentNews Article on the increase of Reg BI Customer Cases in FINRA…
News - August 15 2022
Bates Managing Director Brandi Reynolds (CAMS-Audit) is quoted in a new ACAMS Insights article discussing efforts to develop a federal regulatory framework for…
News - August 02 2022
The SEC Marketing Rule - What You Need to Know
The mandatory compliance deadline for the SEC marketing rule—which replaced the former Advertising Rule and the Cash Solicitation Rule—is November 4, 2022.…
News - July 28 2022
FINRA Proposes Updates to Supervisory Rule on Home Offices
FINRA has filed with the SEC proposed changes to FINRA Rule 3110 to add new Supplementary Material 3110.19 (Residential Supervisory Location). The changes allow…
News - July 26 2022
Bates Sponsors BitCoin Spartanburg Meetup - July 26, 2022 - Hosted by SCETA
Join Bates Group and the South Carolina Emerging Tech Association for a drink & evening of all things crypto! Whether you're brand…
News - July 13 2022
Bates Group and MSBA celebrate the return of MSBA's Summer Lunch & Learn Series this Wednesday, July 13, 2022 at 1:00 p.m. ET. Senior…
News - July 13 2022
Bates Group Managing Director Brandi Reynolds, CAMS-Audit, will join this expert panel to discuss how financial institutions can identify crypto-related financial crime risks…
News - July 07 2022
Reg BI Makes FINRA’s Dispute Resolution Stats List and Other Notable Arbitration Developments
An inevitable—if somewhat subtle—milestone was reached this month for Regulation Best Interest. Posted on FINRA’s monthly dispute resolution statistics page are numbers…
News - July 05 2022
Bates Group Expands its National MSB, FinTech, and Cryptocurrency Practice
Bates Group is expanding its national MSB, FinTech, and Cryptocurrency Practice with the addition of three leading Money Services Business industry professionals…
News - June 23 2022
Timed to coincide with World Elder Abuse Awareness Day on June 15, 2022, federal and state government officials issued proclamations, advisories, and…
News - June 15 2022
Bates Group is proud to sponsor the upcoming June SIFMA C&L luncheon program featuring Raymond “Ray” Dorado, Senior Deputy Superintendent - Banking Division,…
News - June 09 2022
It has been clear for some time that regulators are targeting special purpose acquisition companies (“SPACs”) for increased scrutiny, tighter rules, and…
News - June 08 2022
Meet Bates at the SIFMA C&L Regional: St Louis, June 8, 2022
Meet Bates Director Joe Thomas and Experts Clay Grumke and Jeff Jamieson (pictured, from L) in St. Louis at the SIFMA C&L…
News - June 07 2022
Bates Welcomes New Consulting and Testifying Experts – June 2022
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Joan Marie Asher, CIFD, IACCP - Hedge Funds, Private Equity, Alternative Investments
…News - June 01 2022
Non-Fungible Tokens: a Beginner’s Perspective
What is a Non-Fungible Token (NFT)? We've all heard of NFTs by now, and when this term comes up in the news or a talk…
News - May 31 2022
SEC Proposes Amendments to ESG Disclosure Rules and Forms
The SEC last week issued a proposal to require “registered investment advisers, certain advisers exempt from registration, registered investment companies, and business…
News - May 26 2022
SEC Chair Gensler Speaks: The Latest on the SEC’s Agenda
In a conversation with FINRA President Robert Cook at FINRA’s annual conference last week, SEC Chair Gary Gensler discussed his agency’s rulemaking…
News - May 25 2022
Bates Group’s Brandi Reynolds, CAMS-Audit, quoted in Crypto AML Guide from ComplyAdvantage
Brandi Reynolds, Manging Director of Bates Group's MSB, FinTech and Cryptocurrency practice, is quoted in the recent "Guide to Anti-Money Laundering for Crypto Firms"…
News - May 25 2022
Join Bates at SIFMA’s Anti-Money Laundering & Financial Crimes Conference - Booth #14
Bates Group is a proud sponsor of SIFMA’s Anti-Money Laundering & Financial Crimes Conference, May 25-26, 2022 in New York City. Visit Bates at…
News - May 16 2022
Bates Compliance is proud to return as a sponsor of the 2022 FINRA Annual Conference, May 16th-18th, 2022, in Washington, D.C. Join us in person…
News - May 16 2022
Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022 at the JW Marriott…