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News & Webpages
News - August 19 2021
Webinar Takeaways - Employment Issues: What to Expect Going Forward
Bates Group recently hosted employment litigators and experts for a CLE program to discuss the effects that current and future employment issues…
News - August 17 2021
Regulatory Alert: FINRA Exam Letter Targets Options Trading
On August 10, 2021, FINRA issued a targeted examination letter alerting firms that the regulator was conducting a review of all activities…
News - August 12 2021
The Inevitability of Cryptocurrency Regulation: The Race to Establish a Regulatory Framework is On
Legislators, administrators and regulators have publicly advocated for government intervention to protect consumers and investors from cryptocurrency price volatility and the fraud…
News - August 04 2021
On July 21, 2021, the SEC Division of Examination issued two new risk alerts on Wrap Fee Programs and Principal and Cross…
News - July 27 2021
SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures
The Securities and Exchange Commission announced in a statement yeterday that “21 investment advisers and 6 broker-dealers have agreed to settle charges…
News - July 23 2021
Coordinating on Ransomware: Federal, State Law Enforcement and Regulators Mobilize
The White House, Congress, federal and state law enforcement agencies and regulators are mobilizing to combat the threat of ransomware. In the…
News - July 22 2021
CLE Webinar August 3, 2021 - Emerging Issues in Insurance Practice and Litigation
Join Bates Insurance Experts on Tuesday, August 3, 2021 for an informative CLE webinar discussing cyber insurance and vanishing premium litigation, among other…
News - July 19 2021
Bates in the News: Hank Sanchez Quoted in ThinkAdvisor article
Bates Compliance Managing Director Hank Sanchez was recently quoted in a ThinkAdvisor article concerning the current shift in IA fee tructures and…
News - July 15 2021
FinCEN Posts AML Priorities: A Road Map for Compliance
With the recent publication of its of national priorities for anti-money laundering and countering the financing of terrorism ("AML/CFT"), the Financial Crimes…
News - July 14 2021
Bates Welcomes New Managing Director Rhonda Davis
Bates Group is proud to welcome new Managing Director Rhonda Davis and Cobia Compliance to our AML and Compliance practices.
News - July 08 2021
Early last month, FINRA proposed new amendments to rules on the financial exploitation of seniors and other vulnerable individuals. The changes have implications…
News - July 07 2021
Bates Welcomes Mary Simonson to Bates Compliance
Bates welcomes Mary Simonson as a new Managing Director of Bates Compliance. A seasoned compliance professional with more than 30 years of…
News - June 30 2021
FinCEN Issues First National AML/CFT Priorities
The Financial Crimes Enforcement Network (FinCEN) today issued the first government-wide priorities for anti-money laundering and countering the financing of terrorism (AML/CFT)…
News - June 29 2021
SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement
The Securities and Exchange Commission today announced that Gurbir S. Grewal has been appointed Director of the Division of Enforcement, effective July…
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News - June 24 2021
Bates in the News: Managing Director Linda Shirkey Quoted in Two Articles
Bates Compliance Managing Director Linda Shirkey is quoted in a June 15, 2021 article on ThinkAdvisor, "Excited About SEC's New Ad Rule?…
News - June 17 2021
SEC Chair Gary Gensler’s Rulemaking Priorities Emerge
On June 11, 2021, the White House Office of Information and Regulatory Affairs released a Unified Agenda of Regulatory and Deregulatory Actions…
News - June 17 2021
On May 21, 2021, New York Law School announced the launch of the Ronald H. Filler Institute for Financial Services Law. Named in…
News - June 11 2021
Regulating Cryptocurrency: New Players, New Urgencies
In an op-ed in the Wall Street Journal on June 6, 2021, former SEC Chair Jay Clayton and former Undersecretary of the…
News - June 04 2021
Bates Managing Director Hank Sanchez featured in FSDA Member Spotlight Interview
Bates Compliance Managing Director Hank Sanchez sat down recently with the Florida Securities Dealers Association for a Member Spotlight interview.
News - June 03 2021 Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 2: Reg BI As we previously relayed in Part 1 of this article, the honeymoon period in which firms needed to show merely a “good…
News - June 03 2021 Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 1: Form CRS The honeymoon period in which firms needed to show merely a “good faith” effort at compliance with Regulation Best Interest (“Reg BI”)…
News - June 02 2021 Upcoming CLE Webinar June 16th - Current and Future Employment Issues: What to Expect Going Forward Join Bates Group for this new, complimentary 1-hour webinar examining the effects that remote working conditions during the pandemic had on supervisory…
White Paper News - May 20 2021 In a sign of ramped-up concern, FINRA urged members to ensure that cybersecurity programs and practices are in place to protect customers…
News - May 18 2021 Bates AML and Financial Crimes: In Brief - AML Resources to Support Your Professional Success Read our latest Bates AML & Financial Crimes: In Brief publication, bringing industry leaders important AML and Financial Crimes news and updates, including…
News - May 13 2021 Visit the Bates Compliance Virtual Exhibit Booth at the FINRA Annual Conference, May 18-20, 2021 Bates Compliance is proud to return as an exhibitor to the 2021 FINRA Annual Conference May 18-20, 2021. Visit our virtual exhibit…
News - May 13 2021 In its April 2021 Investment Adviser Section Report highlighting 2020 activities, the North American Securities Administrators Association ("NASAA") promoted the November 24, 2020…
News - May 10 2021 Anti-Money Laundering continues to be a top target of examiners and enforcement, resulting in professional repercussions and millions of dollars of fines…
News - May 06 2021 DOL Releases New Guidance on Cybersecurity and on Exemptions for Investment Advice Fiduciaries In December 2020, the Department of Labor adopted regulations on investment advice for retirement accounts under ERISA, providing a class exemption for persons…