Experts
Practices & Services
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
News & Webpages
News - December 21 2021
The SEC’s New Marketing Rule - Webinar Takeaways
Get the top takeaways to help you deconstruct the SEC's 400-plus-page adopting release of the new Marketing (and Solicitor) Rule. Read this helpful…
News - December 14 2021
Hank Sanchez on Top Compliance Issues for 2022 - Consultant’s Corner Video
Bates Compliance Managing Director Henry “Hank” Sanchez, Esq., talks with Carlos Guillen from BasisCode Compliance about what you should consider when outsourcing compliance…
News - December 02 2021
This month, the SEC Division of Examinations issued two alerts based on staff findings from recent examination initiatives. The first concerned advisers…
News - November 23 2021
In a tally of enforcement actions taken in Fiscal Year 2021 (which ended September 30th), the SEC reported that its efforts “spanned…
News - November 18 2021
NASAA Survey Reveals Some Firms Not Operating Under Reg BI One Year Later
How SEC Regulation Best Interest (“Reg BI”) became the prevailing federal standard for broker-dealer investment recommendations to clients is a long and…
News - November 16 2021
Join Bates in Miami for the IMTC World Conference, November 16-19, 2021
Join Bates Group at the IMTC World Conference 2021, the signature event of the Cross Border Transfers & Payments Industry, November 16-19,…
News - November 15 2021
New Crypto Regulation: Taxation and Oversight Underway, Stablecoins Gaining Support
Government entities have begun in earnest to address concerns over the rapidly expanding crypto marketplace. Congress has passed the Infrastructure Investment and…
News - November 10 2021
ABA Women in Litigation Conference
Join Bates Group at the American Bar Association’s 2021 Women in Litigation Joint CLE Conference, November 17-19 at the Boston Park Plaza in…
News - November 08 2021
Bates is a Silver MemberAlly Sponsor of the 2021 NSCP National Conference
Bates Compliance is proud to be a Silver MemberAlly sponsor of the 2021 NSCP National Conference, November 8-10 at the Gaylord National…
News - November 04 2021
DOL Extends Non-Enforcement Compliance Relief for Certain Prohibited Transaction Exemptions
In a Field Assistance Bulletin issued on October 25, 2021, the Department of Labor extended relief through Jan. 31, 2022 on a…
News - November 02 2021
Join Bates at Legalpalooza November 4, 2021 - Sponsored by the Morris County Bar Association
Join Bates at Legalpalooza, the Premier one-day virtual CLE event sponsored by the Morris County (NJ) Bar Association, on November 4, 2021…
News - November 01 2021
Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations.
News - October 29 2021
SEC Director Advocates for “Proactive Enforcement” as Challenges Develop for Reg. BI
On October 6, 2021, in his first speech as SEC Enforcement Division, Director Gurbir Grewal urged participants at a PLI Broker/Dealer Regulation and Enforcement Conference…
News - October 21 2021
FINRA Warns Firms to Pay Attention to FinCEN AML Priorities
On October 8, 2021, FINRA urged member firms to review and update their Anti-Money Laundering compliance programs in light of the Financial Crimes…
News - October 20 2021
Bates Group Response to COVID-19 (Updated)
As the news and impact of COVID-19 continue to evolve, Bates Group continues to promote the health and safety of our employees, consultants,…
News - October 15 2021
Remember 2010? Prince William and Kate got engaged. Tiger Woods apologized. BP Deepwater Horizon exploded. And Mark Zuckerberg was named Time Magazine’s…
News - October 12 2021
Bates Group is excited to announce the acquisition of CorCom, a top AML compliance consulting firm based in Spartanburg, SC.
News - October 01 2021
Bates Compliance Welcomes New Managing Director Kurt Wachholz
Bates welcomes Kurt Wachholz as a new Managing Director of Bates Compliance. With over 30 years of financial industry experience serving in…
News - September 30 2021
In September 2021, NASAA published two reports that have implications for the protection of senior investors, including an analysis of the status of NASAA’s…
News - September 30 2021
Bates Sponsors FSDA Outreach Program 2021, September 30 in Tampa
Bates Group is a proud Diamond sponsor of the Florida Securities Dealers Association Industry Outreach Program "2021: Charting A Path Forward." Thursday,…
News - September 26 2021
Bates Group was awarded a Top Workplaces 2021 honor by The Oregonian Top Workplaces.
News - September 23 2021
Regulators Turn Up the Heat on SPACs with More Enforcement and Potential Rulemaking
Regulators have moved from statements to guidance to alerts and now to enforcement and rulemaking in their efforts to gain some degree…
News - September 17 2021
Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule
Join Bates Compliance leaders Linda Shirkey and Rhonda Davis for this complimentary webinar as they examine key provisions of the new marketing…
News - September 15 2021
FINRA remained busy through the end of Summer with several important regulatory actions. New actions included issuing updated guidance on supervision of…
News - September 14 2021
FINRA Rules Addressing Brokers with Significant History of Misconduct Go Into Effect
New FINRA rules for protecting investors from brokers with a significant history of misconduct went into effect on September 1, 2021. The…
News - September 09 2021
Now Available: ESG for CCOs by Bates Compliance Managing Director Hank Sanchez in NSCP Currents
Bates Compliance Managing Director Hank Sanchez's new article, "ESG – What it is and How CCOs Can Get Ahead of the Issues at…
News - September 02 2021
Bates 2021 Summer Roundup: Catch Up On What You Missed and What’s Happening Going Forward
While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed,…
News - August 31 2021
Bates Sponsors the IBDC 2021 Risk Management Conference
Bates Group is a proud sponsor of the IBDC 2021 Risk Management Conference, September 12-15, 2021, at the Montage Palmetto Bluffs in…
News - August 30 2021
Bates Sponsors Raymond James’ 2021 Valor Golf Outing - 9/11/2021
Bates Group is proud to honor and support veterans as a sponsor of the Raymond James Valor Network annual golf tournament event on Saturday,…