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News & Webpages
News - July 24 2025
Seven Essential Benefits of Outsourced CCO Solutions for RIA Firms
Outsourced Chief Compliance Officer (OCCO) solutions offer RIA firms a cost-effective, scalable approach to compliance. This article outlines seven key benefits that…
News - July 22 2025
Live Webinar: How to Operationalize your AML Program
Join leading industry experts from Kraken, Gusto, and Bates Group for a deep dive into the shifting landscape of…
News - July 21 2025
Treasury Postpones AML Rule for Investment Advisers to 2028
FinCEN has delayed the effective date for the IA AML Rule to Jan 2028 and signals plans to revisit the rule through a…
News - July 17 2025
Live Program from InvestorCOM: Compliance as a Business Enabler
Discover how leading firms are transforming compliance into a strategic advantage. Join InvestorCOM’s live webinar, Compliance as a Business Enabler: Transforming Oversight…
News - July 10 2025
Timeframes and Tactics: Rethinking AML and Fraud Alert Workflows
AML and fraud alerts may originate from the same department—but should they be worked the same way? This article explores…
News - July 09 2025
Preparing For a Compliance Management System Review: A Practical Guide
Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies.…
News - June 26 2025
Adapting TPRM to Manage AI and Fourth-Party Risk
As third-party risk management evolves, financial institutions must adapt to new challenges,including oversight of vendor-deployed AI and deeper supply chains.…
News - June 24 2025
Meet Bates Group Directors Joe Thomas and Clay Grumke at the SIFMA C&L Midwest Regional Seminar on Tuesday, June 24th in St. Louis
News - June 18 2025
SEC Adopts Final Reg S-P Amendments for Enhanced Customer Data Protection
The SEC has finalized amendments to Regulation S-P, requiring RIAs and other financial institutions to adopt breach response programs and notify clients…
News - June 17 2025
The Future of Compliance: Regulatory Exams Across Banks and Fintechs
Discover key strategies to navigate regulatory exams for banks and fintechs in this CLE webinar featuring top legal and compliance experts.
News - June 13 2025
SEC Withdraws Key Proposed Regulatory Rules Affecting Investment Advisers
The SEC has withdrawn multiple high-impact proposed rules affecting investment advisers, including those on custody, cybersecurity, ESG disclosures, and outsourcing. Learn what…
News - June 05 2025
Customizing AML Policies, Procedures, and Training to Fit Your Risk Profile
Generic AML policies and training programs can leave institutions exposed to unnecessary risk and regulatory criticism. Learn how to design AML policies,…
News - June 03 2025
FinCEN Finalizes AML Rule for Investment Advisers
Starting in 2026, most SEC-registered investment advisers and exempt reporting advisers will be required by FinCEN to implement formal AML programs, file…
News - May 29 2025
Making AML Alert Analysis More Effective
As AML systems improve access to customer information, it has become easier to understand who is behind an alert. But what about…
News - May 21 2025
The Real Work of Effective FinCrimes Vendor Oversight
Oversight of FinCrimes systems and their vendors is a critical, yet often embedded, focus in federal and state examinations. This article explores…
News - May 20 2025
Live Session - The Future of Finance: Navigating Digital Assets in the Banking World
Join Bates Group and Duane Morris for a complimentary CLE webinar on May 20, 2025, exploring crypto scams, fraud detection, AML compliance,…
News - May 15 2025
Alex Russell at Securities Enforcement Forum West 2025
Meet Bates Group Senior Managing Director for Regulatory & Litigation Alex Russell at the Securities Enforcement Forum West 2025 on May…
News - May 14 2025
Bates Group at the ACFCS Crypto and Web3 Compliance Symposium 2025
Join Brandi Reynolds of Bates Group at the ACFCS Crypto and Web3 Compliance Symposium 2025 on May 14. Explore AI, fraud prevention,…
News - May 13 2025
Asset Tracing: Building a Financial Roadmap to Resolution
In complex litigation, asset tracing serves as a critical tool for uncovering financial truth and informing legal strategy. Our latest article from…
News - May 13 2025
Bates Group at the 2025 FINRA Annual Conference
Join Bates Group at the 2025 FINRA Annual Conference, May 13–15 in Washington, D.C. Connect with our experts on key…
News - May 13 2025
Join Bates Group’s Brandi Reynolds and fellow industry leaders on May 13 for a live webinar exploring regulatory shifts impacting digital assets…
News - May 12 2025
Meet Bates Group at the 2025 SIFMA AML Conference
Join Bates Group at the 2025 SIFMA Anti-Money Laundering and Financial Crimes Conference in Washington, D.C., May 12–14. Meet our…
News - April 30 2025
Bates Group Releases 2024 U.S. Economic and Capital Markets Chartbook
Explore Bates Group’s 2024 U.S. Economic and Capital Markets Chartbook for detailed analysis of equity markets, credit, private equity, and…
News - April 28 2025
Bates Group at ACAMS Assembly Hollywood 2025: Advancing AML/AFC Compliance
Join Bates Group at ACAMS Assembly Hollywood, April 28–30 at The Diplomat Beach Resort. Connect with our experts and hear Brandi Reynolds…
News - April 24 2025
What Can Outsourced Compliance Do For BSA/AML and OFAC Programs?
Struggling to keep pace with BSA/AML and OFAC compliance demands? Discover how outsourced compliance services can provide flexible, expert support tailored to…
News - April 11 2025
Meeting Customer Expectations in the Payments Industry
Discover the key trends shaping customer expectations in the evolving payments industry. From real-time transactions to sustainable practices, explore how…
News - April 10 2025
Bates Sponsors FSDA 2025 Industry Outreach Program
Bates Group is a proud Sponsor of the FSDA’s 2025 Industry Outreach program “Riding the Waves of Possibility,” live and online April 10th from…
News - April 07 2025
Live Discussion - “Bridging the Gap: Crypto, Banks & the Future of Financial Innovation”
Join Bates Group and Polsinelli on April 17 at 11 AM ET for a live discussion on crypto, fintech, and bank partnerships.…
News - April 04 2025
Live CLE Webinar: BaaS - What Fintechs and Banks Need to Know
Explore the latest compliance challenges and regulatory trends in Banking-as-a-Service (BaaS). Join industry experts from Bates Group, Nelson Mullins, Kraken,…
News - April 03 2025
The 2025 Anti-Financial Crimes Risk Landscape
2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts…
News - April 01 2025
Live Webinar April 1st on Navigating Reg BI Enforcement
Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.
News - March 31 2025
Brandi Reynolds Quoted by Bloomberg Tax on FinCEN’s Interim CTA Rule
Bates Group Managing Director and Senior Growth Officer Brandi Reynolds, CAMS-Audit, CCAS, is quoted in a recent Bloomberg Tax article on…