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News & Webpages
News - June 12 2024
The Importance of SBOM Compliance in Financial Services
The Software Bill of Materials (SBOM) can be an action-oriented and powerful tool to help you maintain the security, transparency,…
News - June 07 2024
Court Vacates SEC Regulations for Private Fund Advisers
The Fifth Circuit Court of Appeals has issued a ruling vacating the SEC's previously adopted rule package for private fund advisers.
News - May 29 2024
SEC Finalizes its Data Privacy (Reg S-P) Rule: What you need to know
The SEC has voted to finalize its proposed amendments to rules governing the protection of clients’ non-public personal information (PII). What are the important…
News - May 28 2024
Community Banks and BaaS: New Guidance on Managing Risks
New guidance from regulators highlights the importance of strong Third-Party Risk Management (TPRM) for community banks offering Banking-as-a-Service (BaaS). The article…
News - May 22 2024
Common Examination Criticisms with Data and Technology Systems
Recent reports indicate a rise in Bank Secrecy Act (BSA) enforcement actions. However, consent orders focus on data & tech across compliance areas…
News - May 15 2024
Investment Adviser Alert: SEC and FinCEN Propose New AML/CFT Requirements
On May 13, The SEC and FinCEN jointly proposed a new rule requiring certain advisors to implement Customer Identification Programs (CIPs). This…
News - May 15 2024
Webinar: Anti-Money Laundering Rules and Alerts—Testing, Tuning, and Best Practices
Discover strategies for optimizing AML rule sets and enhancing alert efficiency during this live webinar featuring industry leaders from Bates Group, Gusto, Ava Labs,…
News - May 14 2024
Meet Bates Group Leaders at the 2024 FINRA Annual Conference
Join Bates Group leaders and experts at the 2024 FINRA Annual Conference, May 14-16 in Washington, D.C., and get solutions for your ongoing compliance, regulatory…
News - May 05 2024
Join Bates Group at the 2024 IPA Innovative Payments Conference, May 5-7 in Washington, D.C.
Join Bates at the 2024 IPA Innovative Payments Conference, May 5-7 at the Grand Hyatt in Washington, D.C.
News - May 02 2024
DOL Announces Release of Final Fiduciary Rule
The U.S. Department of Labor has announced the finalization of the Retirement Security Rule, updating the definition of an "investment advice fiduciary."
News - May 01 2024
Managing the Privacy Function in a Financial Institution
In a financial institution dedicated to Privacy compliance, the Privacy Officer does much more than manage the Privacy Policy and oversee the…
News - April 30 2024
ACAMS Webinar April 30th - AFC in Practice: Law Enforcement Engagement with the Crypto Industry
Bates Group Managing Director Brandi Reynolds will appear on the panel in a new webinar from ACAMS on April 30, 2024. This AFC…
News - April 18 2024
Bates Sponsors 2024 FSDA Industry Outreach Program April 18
Bates Group is a proud Platinum Sponsor of the FSDA Industry Outreach Program "2024: Getting Back on Track," April 18, 2024 at…
News - April 18 2024
Join Hank Sanchez at the NSCP Interactive Compliance Labs - April 18th in Long Beach, CA
Join Bates Compliance Managing Director Hank Sanchez at the NSCP Interactive Compliance Labs, April 18th, 2024 on location at California Sate University,…
News - April 17 2024
Avoiding Technology, Data, and Staffing Disconnects when Banking Fintechs
With the increase in the number of financial institutions that are banking Fintechs, there has been a corresponding increase in regulatory scrutiny over this…
News - April 17 2024
Managing Director Chris Riper to Speak at FMA’s 2024 Securities Compliance Seminar April 17-19
Bates Group Managing Director Christopher Riper will be speaking on the “Continuing Challenges with Off-Channel Communications” panel at FMA's 2024 Securities Compliance Seminar in Chicago…
News - April 11 2024
Economic and Capital Markets Analysis: 2023 Year in Review U.S. Chartbook
Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2023. From Bates Group Director Greg Kyle and CEO…
News - April 08 2024
Join Brandi Reynolds at ACAMS Assembly Hollywood - April 8-10, 2024
Bates Compliance leader Brandi Reynolds will be attending ACAMS Assembly Hollywood, April 8-10 in Hollywood, FL.
News - April 04 2024
Bates Group practice leaders Alex Russell and Rhonda Davis are featured as speakers at the SIFMA 2024 Chief Risk Officers' Roundtable, April 4-5 in…
News - April 02 2024
SEC Adopts Internet Adviser Exemption Rule Changes
The SEC has announced its adoption of amendments to the internet adviser exemption governing SEC registration eligibility for certain internet investment advisers. Any adviser no…
News - March 22 2024
FINRA’s 2024 Regulatory Oversight Report: Bates Annual Comparison Chart
News - March 18 2024
Investment Advisers Charged by the SEC for False and Misleading AI Use Claims
The SEC has issued a press release announcing settled charges against two investment advisers for making false and misleading statements about their purported use…
News - March 17 2024
Bates is a Proud Sponsor of the SIFMA 2024 C&L Annual Seminar - Booth #512
Bates is a proud sponsor of the 2024 SIFMA C&L Annual Seminar, March 17-20, 2024 in Orlando, Florida.
News - March 14 2024
AI Inventory and Risk Assessment: What a Financial Institution Risk Officer Needs to Know
For managers at financial institutions to understand AI risk, they first need to conduct a thorough inventory of…
News - March 12 2024
Bates Group, a leading provider of custom compliance support and services for RIAs, has completed the acquisition of select client engagements from D…
News - March 06 2024
Meet Bates Compliance at the 2024 IAA Investment Advisor Compliance Conference
Meet Bates Compliance leaders at the 2024 IAA Investment Advisor Compliance Conference, March 6-8, 2024 in Washington, D.C. Managing Direcctor Kurt Wachholz is…
News - March 06 2024
2023 FINRA Dispute Resolution Statistics: A Look Back
2023 was an interesting year in FINRA dispute resolution. While customer filings dipped to a near-decade low, intra-industry cases grew 50% year-over-year.…
News - March 04 2024
Bates Group Sponsors the 2024 IBDC/RIAC Annual Risk Management Conference, March 4-6 in San Diego
Bates is a proud sponsor of the 2024 IBDC/RIAC Annual Risk Management Conference, March 4-6, 2024 in San Diego, California. Bates cybersecurity expert…
News - February 29 2024
Addressing Transaction Fraud Litigation with Expert Consulting and Preventative Compliance
As a leading provider of financial consulting services, Bates Group has extensive experience defending allegations of transaction fraud on brokerage or bank…
News - February 23 2024
Attending ETH in Denver? Connect with FinTech and AML Consultant John Ashley
Attending ETH in Denver? Bates Managing Consultant John Ashley is available meet with you to discuss the top issues and concerns for the blockchain…
News - February 14 2024
FinCEN issued a NPRM on Tuesday requiring SEC-registered IAs and ERAs to apply AML/CFT requirements pursuant to the Bank Secrecy Act, including implementing risk-based…