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News & Webpages
News - May 09 2022
Bates Group welcomes Michael Lindemann, Director and Certified Anti-Money Laundering Specialist, and Edel Gonzalez, Senior Consultant and Licensing & Compliance Specialist, to our MSB, FinTech and…
News - May 05 2022
On April 26, 2022, the SEC Division of Examinations urged investment advisers to revisit their compliance policies, practices, and procedures concerning the…
News - May 05 2022
Bates Compliance Managing Directors Rhonda Davis and Hank Sanchez will be speaking at the Financial Market Association's 2022 Securities Compliance Virtual Seminar, May 5-6, 2022. This…
News - May 03 2022
Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022
Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022
News - April 28 2022
SEC Spotlight: New Cybersecurity Rules Heading Your Way
As part of SEC Chair Gary Gensler's ambitious cybersecurity agenda, the SEC has proposed rules and and made strides to address a number…
News - April 14 2022
In its annual priorities report, the SEC Examinations Division focused on areas of “heightened risk to investors, registrants and the markets.” The priorities…
News - April 12 2022
SEC Proposes New Disclosure Rules on Climate Change
In a broad new rule proposal, the Securities and Exchange Commission would require both domestic and foreign registrants to provide climate-related information…
News - April 07 2022
FINRA Clarifies and Cautions Firms on Potential Supervisory Liability of Chief Compliance Officers
In a reminder to (i) firm management on their supervisory obligations under FINRA Rules, and (ii) Chief Compliance Officers on their potential liability…
News - March 31 2022
President Biden Issues Executive Order on Crypto Seeking “Whole-Of-Government Approach”
In a recent article assessing the regulatory horizon for cryptocurrency, Bates identified several areas of uncertainty which raised certain questions. We may now…
News - March 30 2022
SEC Division of Examinations Announces 2022 Examination Priorities
The SEC Division of Examinations has just released its 2022 examination priorities report, focusing on Private Funds, ESG Investing, Standards of Conduct (including Regulation…
News - March 30 2022
FINRA Proposes Rule to Speed Up Arbitration for Seriously Ill or Elderly Claimants
FINRA has proposed amendments to the Code of Arbitration Procedure to accelerate certain case processing deadlines for seriously ill or elderly parties.…
News - March 29 2022
Podcast: Bates’ Brandi Reynolds Speaks on “How to Scale an AML/CFT Program for Crypto”
With crypto services now reaching a mass audience, how do firms scale their compliance efforts? Bates Managing Director Brandi Reynolds recently joined ComplyAdvantage for…
News - March 22 2022
Dispelling Five Common Misconceptions About Cryptocurrencies
As cryptocurrency becomes more mainstream, many people are looking to learn more, including bankers and regulators. Financial institutions are also currently trying to…
News - March 17 2022
Will a Current Lawsuit Redefine Cryptocurrency as Property for Tax Purposes?
A determined litigant is hoping to define, or redefine, a type of cryptocurrency through a lawsuit against the Internal Revenue Service. The…
News - March 03 2022
Navigating the Money Transmitter Licensing Process
Determining if you are a money transmitter and then navigating the licensing requirements can be a daunting task. This guide is meant…
News - March 03 2022
Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.
Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4. 2022. Visit our booth in the exhibit hall and connect…
News - February 28 2022
SEC Targets More Firms for Form CRS Failings: Is Your Firm Next?
In a press release touting twelve additional enforcement actions against firms for failing to provide complete information on, file, or deliver Form…
News - February 24 2022
FinCEN Roundup: Recent Developments, Rulemakings on Anti-Money Laundering
On January 1, 2021, the Anti-Money Laundering Act ("AMLA") became law. The far-reaching legislation expanded the Bank Secrecy Act regulatory framework by,…
News - February 18 2022
FINRA Releases 2022 Exam and Risk Monitoring Report - Plus Bates’ Annual FINRA Chart
Issued on February 9th, 2022, the FINRA 2022 Exam and Risk Monitoring Report highlights several new areas of FINRA focus that back up…
News - February 17 2022
Meet Our Consulting and Testifying Experts
Bates Group welcomes new testifying and consulting experts
News - February 17 2022
2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar
Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related…
News - February 09 2022
FINRA Releases 2022 Report on FINRA’s Examination and Risk Monitoring Program
FINRA has announced the publication of the 2022 Report on FINRA's Examination and Risk Monitoring Program. Stay tuned for our annual commentary,…
News - February 04 2022
Crypto Regulation: Speed and Size of Evolving Market Creates Urgent Need for Framework
In 2021, the market for cryptocurrencies nearly tripled to more than $2 trillion. Recent movement toward some framework over cryptocurrency seeks to balance…
News - February 03 2022
2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar
Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related…
News - February 02 2022
Celebrating Black History Month 2022
Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black…
News - January 28 2022
Bates Group Welcomes New Consulting Expert Rob Ayers
Bates Group is proud to welcome Rob Ayers as a Business Development and Consulting Expert with our Money Services Business, Fintech and…
News - January 24 2022
In a SIFMA “One-on-One” virtual event sponsored by Bates Group, FINRA CEO Robert Cook sat down with SIFMA President Ken Bentson to…
News - January 20 2022
Join Bates at the 2022 NYSBA Annual Meeting and Presidential Summit
Bates is proud to participate in the 2022 New York State Bar Association Annual Meeting and its marquee event, the Presidential Summit, on Thursday, January…
News - January 19 2022
Join The SIFMA Compliance & Legal Society for a one-on-one conversation between FINRA president and CEO Robert Cook and SIFMA president and…
News - January 18 2022
Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 18th Annual Edith I. Spivack Symposium…
News - January 12 2022
CLE Webinar January 12, 2022 - Demystifying Cryptocurrency Law & Compliance
The cryptocurrency legal and compliance landscape is constantly changing, and there’s more scrutiny than ever before on the industry. Please join leading…
News - January 06 2022
SEC Issues New Guidance on Form CRS Disclosures
Just before Christmas, the SEC issued new guidance on compliance with the broker-dealer/investment adviser-mandated Client Relationship Summary Form (“Form CRS”). The release…