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Edmund G. Rakowski

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News & Webpages

News - May 10 2023

Bates Managing Consultant Lindsey Dean to speak at the May 10th CA Department of Financial Protection Enforcement Division Conference

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

SEC Bulletin Offers Staff’s Views on Standards of Conduct for Investment Advisers and Broker-Dealers When Addressing Care Obligations: What You Need to Know

In a recent Staff Bulletin, SEC staff clarified care obligations for broker-dealers and investment advisers towards retail clients. Both the Reg BI…

News - May 04 2023

MTMA Provides Uniform Framework for Licensing and Regulation of Money Transmitters

The Money Transmission Modernization Act (MTMA) was created to modernize the money transmission industry by allowing for comprehensive standards and requirements that…

News - May 03 2023

Join Bates at SIFMA’s 2023 Private Client Conference - May 3-5

Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale,…

News - May 02 2023

Bates Sponsors SWIFS Spring Symposium May 2, 2023

Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg,…

News - April 27 2023

Special Report - FINRA and SEC Increase Scrutiny of Market Manipulation: Old Concerns, New Priorities

FINRA and the SEC are increasingly focused on manipulative trading practices, such as wash sales and front running, due to an uptick…

News - April 26 2023

Meet Bates AML & Compliance Crypto Leaders at Consensus 2023 - April 26-28 in Austin, TX

Meet Bates Group crypto leaders Brandi Reynolds and John Ashley at CoinDesk's Consensus 2023 conference, April 26-28, 2023 in Austin, TX.

News - April 26 2023

Bates Group Appoints Benjamin R. Pappas as CEO

Bates is proud to announce the appointment of Benjamin R. Pappas as Chief Executive Officer, effective immediately. Previously, Pappas was Bates Group’s President,…

News - April 21 2023

Bates Sponsors the 2023 FSDA Industry Outreach Program - April 21, 2023

Bates is a proud Diamond Sponsor of the FSDA Industry Outreach Program "2023: Unmasking Market Opportunities." April 21, 2023 at the Boca Raton…

News - April 19 2023

Crypto Webinar April 19 - The Convergence of Crypto and TradFi Compliance & Regulation

Join Bates Group Managing Consultant John Ashley along with experts from Alloy and Chainalysis on this new webinar as they discuss regulatory compliance…

News - April 18 2023

OFAC Modernizes Website, Making It Easier to Search Database and Remain Compliant

OFAC has recently made updates to its website designed to make it easier for users to find guidance on specific industries, use…

News - April 18 2023

Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez to Speak at NSCP Interactive Compliance Lab - April 18, 2023

Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez will be speaking on panels at the NSCP Interactive Compliance Lab - April…

News - April 11 2023

Meet the Newest Bates Testifying and Consulting Experts

Bates Group welcomes our newest consulting and testifying experts:

Nicholas Bowman, CFP®, CEP®, MSPFP

James A. Kamradt

Bridget McNamara-Fenesy, JD

David M.…

News - April 06 2023

Economic and Capital Markets Analysis: 2022 Year in Review U.S. Chartbook

Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2022. From Bates Group Director Greg Kyle and President…

News - April 06 2023

SEC Exams Division Issues Risk Alert for Newly Registered Advisers on Compliance Deficiencies and Guidance to Address

On March 27, 2023, the SEC Division of Examinations issued a Risk Alert focused on compliance deficiencies found in examinations of newly…

News - April 05 2023

Are You Ready for a CFPB Examination? Bates Can Help

The Consumer Financial Protection Bureau (CFPB) engages in rigorous examinations of financial institutions to ensure that they follow all applicable laws and…

White Paper

Economic and Capital Markets Analysis: 2022 Year in Review U.S. Chartbook

News - March 30 2023

SEC, White House Announce New Cybersecurity Strategy and Rules; Over $10.2 Billion in Losses, says FBI Cyber Report

In response to the threat from cyber actors “who use constantly evolving and sophisticated tactics, techniques, and procedures to cause harmful cybersecurity…

News - March 23 2023

Hear Bates Director Matt Summers Speak at the NMLS 2023 Annual Conference, April 3-6, 2023

Join Bates at the NMLS 2023 Annual Conference, April 3-6, 2023 in Phoenix. Hear Bates Director Matt Summers speak on the CSBS Money Transmitter model…

News - March 22 2023

On Our Radar: Crypto Legislative, Regulatory and Enforcement Roundup

Fast-moving events in the financial markets are underscoring the need for a workable digital asset legislative and regulatory framework. Ongoing volatility continues…

News - March 21 2023

Banking Update: Separating Fact from Speculation

In the aftermath of the collapse of three banking firms, Silvergate, Silicon Valley Bank and Signature Bank earlier in March, tensions in…

News - March 13 2023

Banking Alert: Silvergate Capital, Silicon Valley Bank, and Signature Bank

On Sunday, U.S. regulators seized Signature Bank, and on Friday, U.S. regulators seized the assets of Silicon Valley Bank (“SVB”). The seizure…

News - March 10 2023

What is the Purpose of Consumer Protection Laws?

Consumer protection laws are designed to protect consumers, to keep sellers honest and to protect purchases of goods from fraudulent or deceptive…

News - March 10 2023

Bates is a Proud Sponsor of the SIFMA C&L 2023 Annual Seminar - Booth #516

Bates is a proud returning sponsor of the SIFMA C&L 2023 Annual Seminar, March 12-15 at the Marriott Marquis San Diego Marina. Visit…

News - March 09 2023

Ira D. Hammerman Interviewed in ThinkAdvisor, Law360 on His Move to Bates

Publications including ThinkAdvisor, Law360, SIFMA SmartBrief, and Politico have all recently mentioned Ira D. Hammerman's new role as Bates Group Managing Director.

News - March 08 2023

The New Jersey Digital Asset and Blockchain Technology Act: A Better Licensing Alternative than New York?

In the coming months, the New Jersey legislature is expected to pass the Digital Asset and Blockchain Technology Act, a bill that…

News - March 06 2023

Bates Experts and Consultants to Speak at NASAA 2023 Enforcement Training

Bates Group Managing Consultant Lindsey Dean and Alison Jimenez, Independent Expert, to speak at the NASAA 2023 Enforcement Training, March 7-9, 2023. Online…

News - March 06 2023

Former SIFMA Executive VP & General Counsel Ira D. Hammerman Joins Bates Group as Managing Director

We are proud to announce that Ira D. Hammerman has joined Bates Group as Managing Director.

News - March 02 2023

FINRA Arbitration Update - February 2023

FINRA proposed amendments to the Codes of Arbitration Procedures for Customer Disputes and Industry Disputes that would affect the arbitrator list selection…

News - February 28 2023

Join Bates at the 2023 IAA Compliance Conference, March 12-14, 2023 in Washington, D.C.

Bates Compliance is a proud sponsor of the 2023 IAA Compliance Conference, March 12-14, 2023, in Washington, D.C.

News - February 20 2023

SEC 2023 Exam Priorities Comparison Chart and Summary: New Marketing Rule, Reg BI and Private Funds Top this Year’s List

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