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News - December 16 2022

SEC Exams Division Warns Firms Against Lax Compliance on Rules to Prevent Identity Theft

The SEC Divison of Examinations and Office of Investor Education and Advocacy have both issued recent alerts about protecting investors from identity theft. The first…

News - December 13 2022

SEC to IAs: Take ESG Compliance Very Seriously

The SEC recently held a National Seminar on compliance for investment advisers and investment company senior officers. Of the many important panels…

News - December 12 2022

Fraud Trends & Predictions for 2023: Webinar with Unit21 - Thursday, December 15, 2022

Join Bates Group Senior BSA/AML/OFAC Consultant John Ashley and other industry-leading voices for a webinar on December 15…

News - December 02 2022

SEC FY2022 Enforcement Division Report: Regulator Raises Penalties to Increase Deterrence

In its annual report of legal actions taken in FY2022 (ending September 30), the SEC noted its “robust enforcement” efforts to “impose…

News - November 30 2022

Bates CEO Jennifer Stout is Featured Speaker at the FSDA-SIFMA C&L Forum in St. Petersburg

Join FSDA President and Bates Group CEO Jennifer Stout at the FSDA-SIFMA C&L Forum in St. Petersburg, Florida. Sponsored by Raymond James.…

News - November 28 2022

Webinar: Reg BI Compliance What You Need to Know to Stay Ahead

Join Bates Group and NICE Actimize when we discuss “Reg BI Compliance: What You Need to Know to Stay Ahead.” Featuring Bates…

News - November 21 2022

On Our Radar: Crypto Regulatory and Enforcement Roundup

Regulatory and enforcement activity has been brisk since nine federal agencies issued a “Comprehensive Framework for Responsible Development of Digital Assets” in…

News - November 16 2022

Are Your Firm’s Policies and Procedures Working as Intended for Rights of Reinstatement?

FINRA has remained focused on ensuring that eligible customers received Rights of Reinstatement (“ROR”) benefits where appropriate. Just recently, we were retained…

News - November 16 2022

The New Federal Digital Asset Framework: Where Are We Now?

Since President Biden issued an Executive Order in March 2002 directing agencies to collaborate on a “whole of government approach” for ensuring…

News - November 14 2022

Bates Cybersecurity Expert Patrick Cox to Speak at Greensfelder Securities Symposium Nov. 16

Bates Expert Partick Cox (pictured) will be speaking on the Cybersecurity panel at this year's Securities Industry Symposium, November 16, 2022. Sponsored…

News - November 10 2022

Bates Is Proud To Sponsor CrossTech World 2022, November 15-17

Bates is a proud sponsor of CrossTech World 2022 (formerly IMTC), the signature event of the Cross Border Transfers & Payments Industry, November…

News - November 10 2022

FinCEN Beneficial Ownership Information Reporting & Overview: Are MSBs Required to Report? Here’s What You Need to Know.

FinCEN's final Beneficial Ownership Information (BOI) Reporting Rule becomes effective on January 1st, 2024. The rule establishes requirements for business entities—such as corporations…

News - November 09 2022

Bates Sponsors NAWL General Counsel Institute November 9-11

Bates is a proud Networking sponsor of the 18th annual National Association of Women Lawyers (NAWL) General Counsel Institute, November 9-11, 2022. 

News - November 07 2022

Newly Proposed SEC Rule Would Impose New Requirements on IAs to Oversee Outsourced Providers

Under a proposed new rule, the SEC would require investment advisers to conduct due diligence and monitor “covered services” outsourced to third-party…

News - November 05 2022

Bates Sponsors 4th Annual Raymond James Valor Golf Outing

Bates is proud to be a sponsor of the 4th annual Raymond James Valor golf outing on November 5, 2022. Valor, the Veterans' Inclusion…

News - November 01 2022

State Securities Regulators Report on 2021 Enforcement Trends:  Digital Assets Investigations, Increase in Promissory Note Enforcement, Concerns About Metaverse Fraud

NASAA, the North American Securities Administrators Association, published their 2022 Enforcement Report detailing data collected from 48 jurisdictions in 2021. This annual publication…

News - October 21 2022

Preparing for an Independent Review of a Money Services Business’s (MSB) AML Program

Independent reviews on AML risk are becoming more important, not only to ensure compliance with current regulation and the documentation of all…

News - October 18 2022

MSBA Webinar: Money Services Business Best Practices + Your Crypto Company

Join us for a new complimentary webinar from MSBA: "Money Services Business Best Practices + Your Crypto Company." October 18, 2022, at…

News - October 17 2022

Visit the Bates Booth at NSCP 2022

Bates Compliance is a proud exhibitor at this year's NSCP National Conference. Visit Bates leaders at booth #25 - Bates Managing Director Hank Sanchez,…

News - October 11 2022

Bates MSB Consulting Expert Rob Ayers in London at the IAMTN Summit 2022

Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates Group in London at the 2022 International Association…

News - October 10 2022

Get BSA/AML Compliance Training at the INFiN MoneyTrends 2022 Conference, Oct. 10-13

Bates Group is proud to be a part of INFiN MoneyTrends 2022, October 10-13 in Austin, TX. Learn about key AML and compliance…

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News - October 07 2022

FinCEN Publishes Final Beneficial Ownership Rule

On September 30, 2022, FinCEN published first of three final rules (and related Fact Sheet) on the reporting requirements for beneficial ownership…

News - October 05 2022

Join Bates at the South Carolina Bitcoin Blockchain Conference, Oct. 5-7, 2022

Join Bates at the South Carolina Bitcoin Blockchain Conference, October 5-7 in Charleston, SC. The conference will focus on Economic Development, Education, and…

News - October 04 2022

How to Prepare for a Regulatory Examination: Bates’ Guide to Getting Ahead of Regulatory Exams

Each year, the SEC and FINRA release Exam and Risk Monitoring Reports highlighting continuing and emerging concerns for the year. These agency…

News - October 04 2022

With Nov. 4 Deadline Approaching, SEC Announces New Marketing Rule Exam Initiatives and Areas of Review

In a new Risk Alert issued by the Division of Examinations, the SEC reminded investment advisers to review their written policies and…

News - September 19 2022

Seeking to Integrate Reg BI Standards, NASAA Proposes Revisions to REITs and Other Guidelines

NASAA is reminding financial professionals that state regulators remain a force to be reckoned with in an increasingly complex financial marketplace. Describing a need…

News - September 09 2022

Private Funds: New Reporting Proposals from Regulators

As the size of the private funds market has grown, regulators have been increasingly concerned about the risk posed to investors. The sheer…

News - September 07 2022

Bates Welcomes New Experts and Consultants

Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):

Erin Baskett, CPA, CGMA - Brokerage, Investment Advisory, Cryptocurrency Consulting

Patrick Cox - Fintech and…

News - September 02 2022

2022 Summer Roundup – What You Missed, What Is Happening This Fall

Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in…

News - August 31 2022

Bates Welcomes Paul Lambert, Former Bank of America Chicago Market President and Merrill Lynch Midwest Division Executive, as a Strategic Advisor and Consulting Expert

Continuing to grow and expand its national reach, Bates Group welcomes Paul Lambert as a Strategic Advisor and Consulting Expert. A 30-year…

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