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News & Webpages
News - October 16 2023
SEC Division of Examinations Announces 2024 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report. Stay tuned for our annual commentary and chart, coming soon,…
News - October 06 2023
Bates Group Welcomes Chris Riper as Managing Director, Litigation and Regulatory Practice
Bates is pleased to announce the return of Chris Riper as Managing Director for complex litigation and regulatory matters.
News - October 02 2023
Join Bates Group at ACAMS 2023 - The Assembly Las Vegas
Join Bates Group at ACAMS 2023 - The Assembly Las Vegas, October 2-4 at the ARIA Resort & Casino.
News - September 26 2023
Financial institutions play a vital role in detecting and reporting suspicious activity that may be related to financial crimes. The Financial…
News - September 26 2023
Rob Ayers to Speak at IPR Global 2023 Payments and Remittance Conference September 26-27 in London
Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates in London at the 2023 Innovation…
News - September 19 2023
SIFMA 2023 Women’s Leadership Forum
Meet Bates Group Leaders and Experts David Birnbaum and Ira Hammerman at SIFMA’s 2023 Women’s Leadership Forum in NYC. Tuesday, September 19th.
News - September 14 2023
So Long Summer – Hello Fall! What You Missed and What is Happening This Fall
The summer has flown by, and now back-to-school (and back-to-office) is here again. We’ve compiled some items you might have missed and…
News - September 11 2023
Bates Sponsors the 2023 MTRA Annual School and Conference
Join Bates Group at the 2023 Money Transmitter Regulators Association (MTRA) Annual School and Conference - September 11-14 in Portland, OR.
News - September 11 2023
Join Bates at the SIFMA C&L Regional Seminar Charlotte - Monday, September 11, 2023
Join Bates leaders and experts at the SIFMA C&L Society 2023 regional seminar on September 11, 2023, in Charlotte, NC.
News - September 01 2023
Bates Expert Clay Grumke on CNBC’s Insider Trading Video
Bates consulting and testifying expert Clay Grumke was recently interviewed by CNBC for a short video documentary on Insider Trading. Watch now!
News - September 01 2023
With the SEC's adoption of the Private Fund Rules, the amendment now requires registered investment advisers to document their annual review in…
News - August 28 2023
Join Bates at the 2023 NAPSA Conference in Boston
Join Bates Group Director and Expert Joe Thomas at the 2023 National Adult Protective Services Association (NAPSA) Conference. August 28-30, 20203 in…
News - August 15 2023
Live Webinar - Asset Custody: Regulations and Best Practices
Join us for an informative live webinar where we will delve into the crucial aspects of managing asset custody, including regulatory requirements, best…
News - August 14 2023
Bates Expert Patrick Cox Quoted in Financial Advisor IQ Article on New SEC Proposal
Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto concerning the Securities and Exchange…
News - August 02 2023
Webinar: How to Make Adverse Media Your Secret Risk Detection Weapon
Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by…
News - July 26 2023
Join Bates for the MSBA Lunch & Learn Series on MTMA implementation - July 19 & July 26
Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation…
News - July 19 2023
Webinar - Risk Assessments: The Compliance Officer’s Trusty Sidekick!
Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management.
News - June 30 2023
State Legislatures in Louisiana and North Dakota have recently enacted or adopted new rules for virtual currency and money transmitters. Bates has the…
News - June 22 2023
Bates is a Proud Sponsor of the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC
Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.
News - June 20 2023
Webinar - Managing Risk: What Your Banks Want You to Know
Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want…
News - June 16 2023
Investment Adviser New Marketing Rule Examinations Focus on Additional Areas
SEC Exams Division staff issued a new risk alert on June 8, 2023, noting they will be reviewing additional Marketing Rule areas of…
News - June 15 2023
Preventing Elder Financial Exploitation: Solutions to a Growing Threat
Elder abuse is a devastating problem that affects millions of seniors every year. In its 2022 Elder Fraud Report, the FBI’s Internet Crime…
News - June 14 2023
How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join…
News - June 14 2023
Join Bates at the SIFMA C&L Regional St. Louis, June 14, 2023
Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis,…
News - June 06 2023
Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New…
News - May 24 2023
Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by…
News - May 24 2023
Brandi Reynolds to Speak at the 2023 1CryptoWorld Virtual Conference - May 24, 2023
Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto…
News - May 16 2023
Meet Bates Leaders at the 2023 FINRA Annual Conference
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in…
News - May 12 2023
The Compliance Risk of Artificial Intelligence
AI and algorithms have wide usage but bring unique risks to organizations, including compliance risks due to potential bias, discrimination, and data…
News - May 10 2023
Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division…
News - May 07 2023
Bates Sponsors IBDC-RIAC Risk Management Conference May 7-10, 2023 - Ira D. Hammerman Speaking
Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our…
News - May 05 2023
In a recent Staff Bulletin, SEC staff clarified care obligations for broker-dealers and investment advisers towards retail clients. Both the Reg BI…