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News - September 24 2020

Announcing Our Newest Experts

Bates Group is proud to welcome our newest experts and consultants: 

• Gary Ferrari - AML, Financial Crimes, Global Compliance Risk Management
• Barbara…

News - September 21 2020

FINRA Enforcement Turns Up Heat on Mutual Fund Direct Business and Firms That Are Brokers of Record

FINRA Enforcement has recently initiated enforcement actions concerning mutual funds and brokers of record centering around client impact, remediation, and other issues. Read…

News - September 18 2020

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office…

News - September 18 2020

OCIE Warns Against Emerging Cyber Threat of “Credential Stuffing”

On September 15, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) issued an alert urging investment advisers and broker-dealers to review…

News - September 17 2020

FinCen Focus: Customer Due Diligence with Banking Agencies, SARs Warnings and BSA Enforcement

Just a few weeks ago, Bates highlighted a series of Financial Crimes Enforcement Network (FinCEN) compliance communications. Since then, FinCEN, along with other…

News - September 16 2020

Visit Bates Group’s Interactive Booth at the SIFMA C&L Virtual Forum - September 23-24, 2020

Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Stop by our virtual exhibit booth to…

News - September 14 2020

CLE Webcast - PLI Pocket MBA for Lawyers and Other Finance Professionals

Join A. Christine Davis, Bates Managing Director of Forensic Accounting and PLI program co-chair, and Edward Longridge, Managing Director of Bates AML & Financial Crimes, at the  PLI Pocket…

News - September 11 2020

CEO Message: 9/11 National Day of Remembrance

Today marks 19 years since the tragic and devastating events of 9/11. Read the message from Bates Group CEO Jennifer Stout

News - September 10 2020

NASAA Rounds Out Busy Summer with Active Policy and Enforcement Agenda

The North American Securities Administrators Association (“NASAA”) continues to assert its member states’ interests in fighting for and protecting investors and consumers…

News - September 03 2020

Bates Group Summer Roundup – Catch Up on What You’ve Missed and What’s Coming Up This Fall

Labor Day is almost here, which means those lazy, remote days of summer are coming to a close. What did you miss when…

News - August 31 2020

SEC Amends Definition of “Accredited Investor”

In an effort to broaden investment opportunities in private funds, the SEC expanded the definition of “accredited investor” to include a host…

News - August 26 2020

Canadian Institute of Actuaries Workshop: Filing a Business Interruption Claim

A. Christine Davis, Managing Director - Forensic Accounting and Economic Damages, will be presenting the program “Filing a Business Interruption Claim: Properly…

News - August 20 2020

New FinCen Guidance on the CDD Rule, Cyber Fraud and Virtual Currency Scams Exploiting Twitter

Over the past several weeks, the Financial Crimes Enforcement Network (FinCEN) has issued new guidance on customer due diligence requirements, an advisory…

News - August 20 2020

Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this…

News - August 17 2020

SEC Issues COVID-19 Compliance Observations and Recommendations for BDs and IAs

On August 12, 2020 the SEC Office of Compliance Inspections and Examinations (OCIE) staff alerted broker-dealers and investment advisers to additional COVID-19…

News - August 06 2020

FINRA Roundup: Guidance on Private Placements, Digital Assets, Virtual Hearings, and Proposals

Since our last regulatory update on the adoption of FINRA’s proposal to align its suitability and non-cash compensation rules with Regulation Best…

News - August 05 2020

8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact

Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020, “Capital Market Uncertainty in the Time of COVID-19 and the Potential…

News - July 30 2020

DOL Proposes New Class Exemption for Investment Advisers

More than two years after the Fifth Circuit Court of Appeals vacated the Department of Labor’s fiduciary duty rule, the agency proposed…

News - July 24 2020

Welcome to Our New Bates Experts

Bates Group is proud to welcome our newest experts and consultants:

Amy Bard, Esq.- Sales Practice Litigation, Compliance, Senior Investors

Paula…