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News & Webpages
News - January 16 2025
Navigating Compliance Hurdles as a BSA Officer
As regulatory scrutiny intensifies, BSA Officers face increasing challenges in executing their vital risk management responsibilities. Our latest article explores common hurdles…
News - January 14 2025
Fireside Chat: 2024 Sanctions Breakdown & Trump 2.0
Bates Group is proud to join the panel for this critical discussion on 2024 sanctions trends and what’s ahead under the incoming…
News - January 08 2025
CFPB Semiannual Regulatory Outlook – Could Any of These Rulemakings be Paused?
Discover how the CFPB's latest regulatory agenda could impact fintechs and compliance efforts in 2025. Key insights inside.
News - December 18 2024
Preparing for an Independent Review of MSB AML Programs
Both the FFIEC Manual and the MSB Examination Manual provide frameworks to assess MSB AML program integrity and effectiveness through independent reviews.…
News - December 16 2024
Banking as a Service: A Comprehensive Guide to Regulatory Success for Banks and Fintechs
Navigate the complex world of BaaS with confidence. This essential guide reveals how banks and fintechs can transform regulatory challenges into competitive…
News - December 12 2024
Update: SEC Compliance Insights From CCO Outreach Program
Key Takeaways from the SEC's National Compliance Outreach live webcast for investment advisers and investment companies on November 7, 2024.
News - December 11 2024
Live Event - CFPB’s Data Shift: Is Your Institution Ready for What’s Next?
Join Bates Group and sponsor McCarthy Hatch for a live program on CFPB data collection.
News - December 09 2024
A Strategic Guide to AML KPIs and KRIs for Fintech Financial Crimes Officers
Discover how strategic KPIs and KRIs can transform your AML compliance from a regulatory burden to a powerful business intelligence tool.
News - November 27 2024
Avoiding Landmines in AML Vendor Management
AML Officers face a complex landscape of potential challenges when working with vendors. Robust ongoing due diligence can help avoid potentially damaging or…
News - November 19 2024
Meet Bates Group at Crosstech World 2024
Bates Group is a proud partner of the 2024 Crosstech World Conference, November 19-21 in Hollywood, Florida.
News - November 13 2024
Fireside Chat: Effective Fintech Onboarding for BaaS Banks
Join us for a virtual program with Castellum.AI about the importance of compliance when banks engage with fintech partners
News - November 07 2024
SEC Virtual Compliance Outreach Seminar for Investment Professionals - November 7
Essential SEC compliance seminar for investment professionals - CCOs and senior compliance personnel: Join key sessions on security, marketing rules, and regulatory…
News - October 28 2024
Bates Group at INFiN Money Trends 2024
Bates Group Strategic Advisor Connie Fenchel, CAMS is at the INFiN Money Trends 2024 Conference, October 28-30 in Tampa.
News - October 27 2024
Meet Bates Group at Money20/20 USA 2024
Meet Bates Fintech and Compliance leaders at the Money20/20 USA conference October 27-30, 2024 in Las Vegas
News - October 27 2024
Meet Bates Group Compliance Leaders at the 2024 NSCP National Conference
Join Bates Group at the NSCP National Conference, October 27-30, 2024 in Dallas, TX. We are a proud sponsor of this year's event.
News - October 21 2024
The SEC Division of Examinations has released its exam priorities for fiscal year 2025, outlining a comprehensive approach to oversight that emphasizes…
News - October 16 2024
Bates Group at the SIFMA C&L New York Regional Seminar
Join Bates Group Managing Director Jennifer Cunnungham at the SIFMA C&L 2024 New York Regional Seminar - Wednesday, October 16, 2024 in New York…
News - October 09 2024
Crafting an Enterprise Risk Management Program for MSBs – Part 2
As MSBs and Fintechs get larger and more complex, they may find examiners, auditors, and bank partners asking about their ERM. In…
News - September 23 2024
Bates Group at the SIFMA C&L Charlotte Regional
Join Bates Director & Expert Joe Thomas at the SIFMA C&L 2024 Regional Seminar on September 23, 2024, in Charlotte, NC.
News - September 19 2024
Crafting an Enterprise Risk Management Program for MSBs
As Money Services Businesses grow, implementing Enterprise Risk Management becomes crucial. This article guides Compliance Officers in starting development of an ERM Program,…
News - August 29 2024
Alert: Treasury Department’s Final AML Rule for Investment Advisers
The Treasury Department's final anti-money laundering (AML) rule for investment advisers mandates risk-based AML programs for most SEC-registered advisers. While some industry concerns…
News - August 28 2024
Know Your Customer (KYC) & Know Your Business (KYB): Best Practices for MSBs
Join us for an insightful live talk on industry-leading best practices for customer identification compliance. Our expert panel will discuss practical guidance…
News - August 19 2024
A Very Active CFPB: Paycheck Advance Loans
The CFPB has proposed an interpretive rule classifying paycheck advance loans under TILA, which could require APR disclosures for these rapidly growing products. Financial…
News - August 14 2024
New Data Insights on U-5 Defamation Cases
Understanding the true impact of U-5 commentary on employment prospects is critical for both advisors and firms. Our latest analysis of FINRA…
News - August 13 2024
In-Person Event: ACFCS Charlotte Fincrime Summit
Join Bates Group at the ACFCS Charlotte Fincrime Summit on September 4, 2024. Explore the latest trends and regulatory issues affecting the financial crimes…
News - August 07 2024
Mastering The Remittance Transfer Rule: Subpart B of Reg E
Join industry experts from Bates Group, Alviere, Adam Atlas Attorneys at Law, and McCarthyHatch, who will share their knowledge and experience to…
News - July 18 2024
Meet Us in Nashville at Bitcoin 2024
Attending the Bitcoin 2024 conference in Nashville? Connect with Bates FinTech Compliance Director Jason Fitch.
News - July 17 2024
Two Ways a Risk Assessment Can Benefit Your AML/CFT Program
Under FinCEN’s proposed rule to strengthen and modernize AML/CFT programs, a risk assessment is a critical element of sound and effective AML/CFT programs. Learn…
News - July 09 2024
Virtual Program: Ensuring Quality Assurance of Your AML Programs
Elevate your AML program's effectiveness at the Fraud Fighters Virtual Summit on Wednesday, July 17th. Brandi Reynolds is speaking on the panel…
News - July 03 2024
Common Examination Criticisms of the BSA Compliance Officer
BSA examiners hold institutions dealing with Fintechs to a higher standard. Bates Group explores how examiner criticisms regarding the BSA Officer…
News - June 25 2024
Webinar: Managing the State Exam Process
This new compliance webinar features industry experts from Bates Group, eToro, Alviere, and Pillsbury Winthrop Shaw Pittman LLP, who will provide you with valuable…
News - June 20 2024
Tips for Effective and Efficient Exam Remediation Efforts
Once a regulatory exam is over, it’s time to roll up your sleeves and focus on remediation. Learn how sound risk management…