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News - April 15 2021

Momentum Building on Cannabis: New York Passes Marijuana Regulation and Taxation Act, Congress Closer to Passing SAFE Act

Federal and state legislation to legalize cannabis and regulate related businesses moved forward this month with a bipartisan reintroduction of the federal…

News - April 09 2021

AML Watch: FinCen Seeks Comments on Beneficial Ownership Reporting, SEC Issues Alert on SARs Compliance Deficiencies and Guidance

The new Anti-Money Laundering Act (AMLA), which became law on January 1, 2021, expanded the Bank Secrecy Act regulatory framework, requiring substantial…

News - April 07 2021

Welcome to Bates AML & Financial Crimes: In Brief - Practitioner News, Webinars and Resources for Professional Success

We’re launching our inaugural Bates AML & Financial Crimes: In Brief publication to bring to AML leaders important AML and Financial Crimes news…

News - April 05 2021

Bates Compliance Webinar: Getting Ahead of an SEC Examination

It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how…

News - April 05 2021

Update on New SEC Marketing Rule: It’s All or Nothing

The SEC’s new marketing and advertising rule will impose considerable oversight, recordkeeping and disclosure requirements affecting “100 percent” of investment advisers when…

News - April 01 2021

FINRA Roundup: New Broker Misconduct Rules, Regulatory Obligations During Market Volatility, Arbitration Updates, and Beware! Phishing Scams

Recent FINRA activity demonstrates the continuous set of demands on the organization to maintain progress on ongoing initiatives (addressing broker misconduct); keep…

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Reflections on an Unprecedented Year

News - March 18 2021

Regulatory Concerns Grow as Market for SPACs Heats Up

On March 10, 2021, the SEC published an alert in which the Office of Investor Education and Advocacy cautioned investors to be wary…

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Special Purpose Acquisition Companies (SPACs): A Summary

News - March 12 2021

SEC 2021 Exam Priorities: Climate Change, Reg BI, Disclosures and Information Security Top the List

The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities, focusing on climate-related risks, Regulation Best Interest, fiduciary duty for investment…

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The Anti-Money Laundering Act of 2020 and the Shifting AML Framework

News - March 08 2021

Bates Celebrates International Women’s Day 2021

We are honoring women globally, committing to forge a more inclusive world, and celebrating our Bates Group colleagues, clients, and friends this 2021 International Women's…

News - March 04 2021

Are Low-Priced Securities a Backdoor to Fraud? FINRA Says Watch Out

On February 15, 2021, FINRA issued an alert warning firms to pay attention to risks associated with low-priced securities activities. The Notice…

News - March 03 2021

SEC Division of Examinations Announces 2021 Examination Priorities

The SEC Division of Examinations announced its 2021 examination priorities today, focusing on climate-related risks, conflicts of interest for brokers (Regulation Best…

News - March 02 2021

Bates in the News

UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director…

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Booth Raffle - IAA Compliance Conference 2021

News - February 25 2021

IAA 2021 Virtual Investment Adviser Compliance Conference, March 3-5, 2021

Bates Compliance is a proud Supporting Sponsor of the 2021 IAA Virtual Compliance Conference. Alex Russell (Managing Director, White Collar, Regulatory and Internal Investigations)…

News - February 24 2021

In Brief: Regulatory Compliance Roundup

Bates continues to track regulatory developments that have long-term impact. Here, we highlight in brief several ongoing matters that affect regulatory compliance,…

News - February 24 2021

Webinar - SIFMA Reg BI Developments: Family Office Relief and New SEC Exam Priorities

Join SIFMA and the SIFMA C&L Society on February 25, 2021 from 1:00-2:20pm ET for a two-part webinar on current developments on…

News - February 24 2021

Bates Group Teams with Innova Learning to Train, Consult Financial Services Firms to Meet Regulatory Challenges

Bates Group and Innova Learning, Inc. today announced a joint effort to provide advanced training programs, subject matter expertise, and consulting services…

News - February 18 2021

Seeking Growth and a Sound Market, NYDFS Unveils New Cyber Insurance Risk Framework; FINRA and NASAA Heighten Cyber Focus

Federal enforcement agencies and financial regulators have been warning of increased cyber risks to public and private databases, financial institution infrastructure and…

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Custom Corporate Training

News - February 12 2021

Connect with Bates at the 2021 SIFMA AML and Financial Crimes Conference to Build and Improve Your FC Program

Bates Group is a proud returning sponsor and virtual exhibitor at the 2021 SIFMA AML and Financial Crimes Conference. Connect with the Bates…