Experts
Practices & Services
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
Bates Service
News & Webpages
News - March 16 2020
UPDATE: NSCP Regulatory Interchange with the SEC, DOL & FINRA: July 24, 2020 in Denver, CO.
NSCP Regulatory Interchange with the SEC, DOL & FINRA: Moved to July 24, 2020 in Denver, CO. Bates Compliance Managing Director Linda Shirkey is…
News - March 12 2020
Regulators Are Gaining Traction in the Fight Against Elder Financial Exploitation
Bates Group has been tracking regulatory and enforcement developments on senior financial exploitation. Two recent publications and recent sweeping enforcement actions suggest…
News - March 09 2020
Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article
Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.
News - March 05 2020
Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies
If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you…
News - February 28 2020
Massachusetts Adopts New Fiduciary Rule; SEC Releases Reg BI FAQs; NAIC Approves Annuity Regulation
As the June 30, 2020, date for compliance with the Regulation Best Interest (“Reg BI”) draws near, federal and state regulators are…
News - February 27 2020
Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6
Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March…
News - February 26 2020
Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize
Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure…
News - February 20 2020
FINRA Talks Dispute Resolution - Offers Tips and Advice to Counsel and Arbitrators
On February 3, 2020, the New York County Lawyers Association hosted its “21st Annual FINRA Listens and Speaks” panel. The panel members…
News - February 20 2020
“Understanding Reg BI” Webinar 02-27-20 from AI Insight and Bates Compliance - Video Now Available
David Birnbaum and Linda Shirkey from Bates Compliance join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest…
News - February 12 2020
New OCIE Report Offers Best Practices for Firms to Enhance Cyber Preparedness and Resiliency
On the heels of their 2020 examinations priorities report, OCIE has issued a new report on “Cybersecurity and Resiliency Observations” to reemphasize…
News - February 11 2020
Private Placement Alert: GPB Private Funds Under Scrutiny
Bates Group is alerting counsel that we are seeing cases filed where firms sold private funds issued by GPB Capital Holdings LLC.…
News - February 06 2020
Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020
Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville,…
News - February 05 2020
Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX
Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered…
News - February 05 2020
U.S. Anti-Money Laundering Updates
The Treasury Department’s Office of Comptroller of the Currency (OCC) issued an Annual Report to Congress highlighting the past year’s BSA and…
News - January 29 2020
Meet and Hear from Bates AML Leaders at the 2020 SIFMA AML and Financial Crimes Conference
Bates AML and Financial Crimes Managing Director Edward Longridge will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020…
News - January 28 2020
Bates Group Welcomes New Managing Director Jennifer L. Cunningham
Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services professional with…
News - January 23 2020
FINRA Reorganizes for More Coordinated Exams, Highlights Priorities for 2020
In his cover note accompanying FINRA’s annual Risk Monitoring and Examination Priorities letter, FINRA President and CEO Robert Cook reminded members of…
News - January 22 2020
Download The New Reg BI White Paper from Bates Research and Bates Compliance
Understand what Reg BI requires now — and what more you must implement before the final deadline. Download our new white paper:…
News - January 16 2020
OCIE to Prioritize Reg BI Compliance in 2020 Examinations
The SEC Office of Compliance Inspections and Examinations ("OCIE") set out their 2020 examinations priorities in an annual report issued last week.…
News - January 15 2020
Bates Expert William Jannace Quoted in Investment News Article
Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News. The article discusses FINRA's interest in…
News - January 10 2020
Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum
Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16,…
News - January 10 2020
FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
FINRA has announced their regulatory and examination priorities for the upcoming year. New for this year is a focus on Regulation Best…
News - January 09 2020
Massachusetts State Fiduciary Rule and NAIC Annuity Standards Proposals Continue to Move Forward
Bates Group continues to track a host of issues affected by the adoption of Regulation Best Interest (“Reg BI”), the 2019 package…
News - January 07 2020
SEC Office of Compliance Inspections and Examinations Announces their 2020 Examination Priorities
The SEC's Office of Compliance Inspections and Examinations has announced their exam priorities for the upcoming year. Stay tuned to the Bates News page…
News - January 06 2020
Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.
Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston,…
News - December 19 2019
Reg BI Countdown – Is Your Firm Ready?
Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg…
News - December 17 2019
Bates Compliance at the FINRA 2019 Regulation Best Interest Conference
Meet Bates Compliance Leaders Bob Lavigne and Jill Ehret at the FINRA 2019 Regulation Best Interest Conference, December 18, 2019 in Washington, D.C.
News - December 12 2019
Banking Agencies Clarify SARs Requirements for Hemp, Possibly Paving the Way for Cannabis
A key to understanding new BSA guidance on the “legal status of commercial growth and production of hemp” can be found in provisions…
News - December 05 2019
Do The SEC Enforcement Directors’ 2019 Successes Preview Their 2020 Priorities?
Despite “significant headwinds,” including “adverse” holdings in Supreme Court cases and a significant disruption in Congressional funding in the beginning of the…
News - November 21 2019
SEC Zeroes in on Investment Adviser Compensation Conflicts
On October 18th, 2019, more than a year after the launch of the SEC Share Class Disclosure Initiative and targeted enforcement activity,…