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News & Webpages
News - June 05 2020
New Capital Market Insights White Paper: Bear Markets, Black Swan Events and Volatility
The first part of this year has been challenging for the equity markets. In March, the S&P 500 Index plunged into bear…
News - June 04 2020
CEO Message: Standing up to Racial Injustice
A message from Bates Group CEO Jennifer Stout
News - June 04 2020
Oil-Related ETP Recommendations: FINRA Reminds Firms of Suitability and New Reg BI Obligations
Concern about recommendations of complex financial products for retail investors has been at the center of the debate over changing standards for…
White Paper
News - June 02 2020
Introducing Bates Group’s Business Interruption Litigation Support
Bates Group’s industry-leading insurance, forensic accounting and economic damages experts stand ready to assist Insurers and agents in the many challenges they…
News - May 29 2020
CLE Webinar: Employment Claims and Potential Economic Damages – What to Expect in the “New Normal”
Join Bates Group moderator Sheila Murphy and Managing Director A. Christine Davis, along with three accomplished employment lawyers as they explore and…
News - May 28 2020
Reg BI & Form CRS Countdown: One Month to Go - Exams to Start July 1, 2020
The June 30th, 2020 implementation date for SEC Regulation Best Interest and the corresponding Customer Relationship Summary (Form CRS) is only one…
Webpage
News - May 21 2020
NASAA Seeks to Disrupt Fraud, Moves to Online Exams; FINRA Warns of Pandemic Scams
State and federal regulators are pressing firms to increase vigilance against crisis-related misconduct and other vulnerabilities in order to protect investors. The…
News - May 20 2020
Bates Practice Leadership Insights: What Compliance Officers are Thinking About Now
In this first of a series of conversations with Bates Group practice leaders, we caught up with Robert Lavigne, Managing Director and Bates Compliance Practice…
News - May 14 2020
AML Compliance Report: FinCEN Says Hold the Line, FFIEC Updates Exam Manual
At a time when regulators are emphasizing their understanding of, and flexibility concerning, the difficulties facing financial firms as a result of…
News - May 11 2020
Bates Group is proud to welcome our newest experts and consultants:
Kathy D. Ireland – ERISA, Investment Advisers Act, Codes of Ethics
…News - May 08 2020
CLE Webinar: Senior and Vulnerable Investor Protection and Potential Claims in the COVID-19 World
Join our panel of nationally recognized leaders for a conversation about what vulnerable and senior financial investor issues and litigation claims may…
News - May 08 2020
Webinar: Preserving and Growing your IBD/RIA Business in the Time of COVID-19
Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists including…
News - April 30 2020
FINRA Carries On: Focuses on High-Risk Brokers, Broker Beneficiaries, Arb Postponement & Reg BI
While the COVID-19 pandemic continues to create unusual and difficult challenges for the financial service industry, FINRA continues to move forward with…
News - April 28 2020
This Week at Bates: Countdown to Form CRS for IAs Webinar
The countdown is on! Join our complimentary Form CRS for IAs webinar Thursday, April 30, 2020. Specifically designed for SEC-registered IAs, this…
News - April 21 2020
Coronavirus and the Approaching Business Interruption Insurance Storm
These are uncertain times for insurers. In a report issued on March 31, 2020, Congressional Research Service (“CRS”) staff noted the likelihood…
News - April 15 2020
SEC Adopts Final Rule on Variable Contract Disclosure, Effective July 1, 2020
The SEC recently adopted new Rule 498A under the Securities Act, including various supporting amendments, to “simplify and streamline” the disclosure framework…
News - April 09 2020
SEC Issues Risk Alerts on Compliance with Reg BI and Form CRS
On April 7, 2020, the SEC Office of Compliance Inspections and Examinations issued two new alerts to broker-dealers and investment advisers about…
News - April 03 2020
Reg BI: SEC Keeps June 30th Deadline, FINRA Seeks to Amend Suitability Rule
Over the past few weeks the coronavirus pandemic has overtaken the nation’s financial agenda and diverted the attention of financial regulators who…
News - April 01 2020
Five Supervision, Control and Compliance Items You Should be Considering Now
Compliance is challenging to begin with, but in this new landscape, it is an even greater stretch for compliance teams to manage…
White Paper
News - March 26 2020
Update: SEC Amends ADV Filing and Delivery Deadline Extensions due to COVID-19
The SEC’s IAA Release No. 5469 on Wednesday, March 25, 2020 amends its IAA Release No. 5463 and now allows for extending…
News - March 26 2020
Enforcement Warnings in the Age of the Coronavirus
As regulators struggle to adjust to the stress that the coronavirus pandemic is placing on the markets, fraudsters are viewing it as…
News - March 25 2020
FINRA Warns Firms on UTMA/UGMA Account Supervision
In a Notice issued on February 27, FINRA advised firms of their responsibilities over custodial accounts under the Uniform Transfers to Minors…
Webpage
News - March 19 2020
Financial Regulatory Guidance, Assistance and Relief Roundup
During the current crisis, the challenge for financial firms and investors is to keep on top of the latest communications from regulators,…
News - March 18 2020
What We Have Learned From Previous Market Downturns and Corrections
Over the course of the last 40 years we’ve seen plenty of ups and downs in the markets. Along the way, Bates…
News - March 17 2020
FINRA Postponement of In-Person Arbitration & Mediation Hearings
FINRA has announced that, in response to the evolving coronavirus disease 2019 (COVID-19), it “has decided to administratively postpone all in-person arbitration…
News - March 16 2020
SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19
The SEC’s IAA Release No. 5463 on Friday, March 13 allows for extending the filing (March 30) and delivery (April 30) deadline…