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News & Webpages
News - November 15 2019
Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along
FINRA has announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Learn…
News - November 12 2019
Bates Welcomes Our Newest Experts and Consultants
Bates Group is proud to introduce our newest experts and consultants: Gontran de Quillacq, Caryn Miller, Michael Dorsey, Amy Ott, Mark Filler, Tali Taft, Paul…
News - November 11 2019
Bates Group Leaders and Experts will be appearing at several industry events around the country this week.
News - November 07 2019
Bates Managing Director Hank Sanchez Quoted in The Wall Street Journal
Bates Managing Director and Expert Consultant Hank Sanchez is quoted in a new article from The Wall Street Journal.
News - November 07 2019
SEC Proposes Changes to Investment Adviser Advertising and Solicitation Rules
The SEC is seeking comment on a newly issued proposal to amend two rules on investment adviser advertising and solicitor compensation.
News - October 31 2019
FINRA Issues 2019 Report On Exam Findings
FINRA issued its annual Report on Examination Findings and Observations on October 16, 2019. Like last year’s Report, the 2019 version highlights…
News - October 25 2019
New Federal Legislation Progressing on BSA, Beneficial Ownership and Cannabis Financing
On September 26, a bipartisan group of Senators introduced a bill to strengthen the authority of the Financial Crimes Enforcement Network (FinCEN)…
News - October 23 2019
Digital Assets - Financial Agencies Remind Firms of AML Compliance Obligations
On October 11, 2019, the heads of FinCEN, the SEC and CFTC issued a joint statement to remind financial institutions of their Bank Secrecy…
News - October 18 2019
Bates Compliance’s Reg BI Countdown Kick-Off Begins!
To support your Reg BI implementation efforts, Bates Compliance is rolling our Reg BI Countdown with action items to keep your compliance…
News - October 10 2019
FinCEN Leaders Highlight Innovation, Identity Information and “Culture” as Keys to AML Approach
In two speeches delivered in September 2019, leaders of the Financial Crimes Enforcement Network (FinCEN) laid out their thinking behind the agency’s…
News - October 03 2019
SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation
The SEC Enforcement Division is continuing to concentrate on firms that did not self-report by the deadline of the SEC’s Share Class…
News - October 01 2019
Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference
Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at…
News - September 27 2019
Bates Managing Director Robert Lavigne Quoted in Investment News Article
Bates Compliance Managing Director Robert Lavigne is quoted in a new article from Investment News.
News - September 26 2019
NASAA Enforcement Report Shows Increased Investment Adviser Actions, Focus on Crypto, Senior Fraud
In its 2019 annual enforcement report, the North American Securities Administrators Association ("NASAA") highlighted statistics from its 2018 state enforcement activities. The…
News - September 23 2019
Bates Welcomes Our Newest Experts and Consultants
Bates is proud to introduce our newest experts and consultants: Donna Bartlett, Frank Giorgio, Richard Rogoff and William Webb.
News - September 23 2019
OCIE Issues Risk Alert on Principal Trading and Cross Transaction Compliance Obligations
The SEC Office of Compliance, Inspections and Examinations (OCIE) issued a Risk Alert to remind investment advisers of their compliance obligations for…
News - September 19 2019
FINRA Requests Feedback on Senior Financial Protection Rules
In a new Regulatory Notice, FINRA is asking its members a series of questions about the utility of rules and processes to…
News - September 12 2019
States Sue SEC in Latest Challenge to Reg BI
The SEC’s adoption of the Regulation Best Interest (“Reg BI”) package in June was a defining moment in the long-running debate over…
News - September 05 2019
Bates Managing Director Hank Sanchez Publishes New Reg BI Article in NSCP Currents
Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and…
News - September 04 2019
Bates Expands Financial Crimes Roster with Managing Director Dennis Greenberg
Bates Group welcomes Dennis Greenberg as the new Managing Director of Business Development for Bates AML and Financial Crimes.
News - August 16 2019
Expert Spotlight: Greg Kyle Quoted by CBS News
Bates Group director and expert Greg Kyle was recently interviewed by CBS News for their MoneyWatch feature.
News - August 15 2019
NASAA Roundup: Crypto Crackdown, Reg BI, New Warnings on Complex Products
The past few months have been a particularly busy time for state financial regulators and enforcement officials. At almost every turn, the…
News - August 14 2019
Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles
Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA…
News - August 09 2019
Introducing Bates Group’s Managed Document Review Services
Bates Group’s new Managed Document Review services enable organizations to leverage the advantages of highly experienced review specialists and technology-enabled e-discovery review…
News - August 08 2019
Variable Annuities Regulatory Update: Will NY’s Reg. 187 Victory Impact SEC, NAIC Proposals?
Last week, the New York Supreme Court upheld the “Suitability and Best Interest in Life Insurance and Annuity Transactions” regulation (a/k/a Regulation 187)…
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News - August 01 2019
Cannabis: Federal and State Efforts Picking up Steam
The growing global cannabis market is estimated to reach $66.3 billion by 2025, up from $13.8 billion in 2018. That kind of…
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News - July 29 2019
OCIE Examines Investment Adviser Oversight of Supervised Persons with Disciplinary History
The SEC Office of Compliance, Inspections and Examinations (OCIE) issued a Risk Alert to address compliance and disclosure issues raised in examinations…