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News - August 30 2022

On the Radar with FINRA: Remote Offices, Expungements, Customer Account Transfers, Digital Signature Forgeries

FINRA remained active this summer with a series of important proposed rule changes and risk-related compliance reminders. Here’s a summary to keep…

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State Licensing & Other Support

News - August 25 2022

New Developments for New York BitLicense Holders and Applicants

Responding to the growing popularity of Bitcoin and other cryptocurrencies, in 2015 the New York Superintendent of Financial Services came up with the…

News - August 24 2022

We’ve Moved! Bates Relocates to Lincoln Center in Portland

The Bates main office has recently relocated from Lake Oswego to Portland.

News - August 23 2022

Is Past Really Prologue When It Comes to Your Mutual Fund Share Class Selection, Conflicts, and Disclosures?

Did Shakespeare get it right? Is past really prologue when it comes to your mutual fund share class selection, conflicts, and disclosures?  Find…

News - August 18 2022

SEC Staff Offers Additional Guidance on BD and IA Conflicts of Interest

On August 3, 2022, SEC staff issued new guidance addressing conflicts of interest under the Regulation Best Interest (“Reg BI”) standard for…

News - August 15 2022

Bates Managing Director Julie Johnstone Quoted in InvestmentNews Article on Reg BI and FINRA Arbitration

Bates Managing Director Julie Johnstone was quoted in a recent InvestmentNews Article on the increase of Reg BI Customer Cases in FINRA…

News - August 15 2022

Bates Managing Director Brandi Reynolds Quoted on the Pending Regulatory Framework for Crypto and Virtual Assets

Bates Managing Director Brandi Reynolds (CAMS-Audit) is quoted in a new ACAMS Insights article discussing efforts to develop a federal regulatory framework for…

News - August 02 2022

The SEC Marketing Rule - What You Need to Know

The mandatory compliance deadline for the SEC marketing rule—which replaced the former Advertising Rule and the Cash Solicitation Rule—is November 4, 2022.…

News - July 28 2022

FINRA Proposes Updates to Supervisory Rule on Home Offices

FINRA has filed with the SEC proposed changes to FINRA Rule 3110 to add new Supplementary Material 3110.19 (Residential Supervisory Location). The changes allow…

News - July 26 2022

Bates Sponsors BitCoin Spartanburg Meetup - July 26, 2022 - Hosted by SCETA

Join Bates Group and the South Carolina Emerging Tech Association for a drink & evening of all things crypto! Whether you're brand…

News - July 13 2022

Upcoming Webinar - Best Practices for U.S. Money Services Businesses - Hosted by Bates Group and MSBA

Bates Group and MSBA celebrate the return of MSBA's Summer Lunch & Learn Series this Wednesday, July 13, 2022 at 1:00 p.m. ET. Senior…

News - July 13 2022

Brandi Reynolds to speak on AML Virtual Panel: Identifying Crypto Risks and Red Flags Through Transaction Monitoring

Bates Group Managing Director Brandi Reynolds, CAMS-Audit, will join this expert panel to discuss how financial institutions can identify crypto-related financial crime risks…

News - July 07 2022

Reg BI Makes FINRA’s Dispute Resolution Stats List and Other Notable Arbitration Developments

An inevitable—if somewhat subtle—milestone was reached this month for Regulation Best Interest. Posted on FINRA’s monthly dispute resolution statistics page are numbers…

News - July 05 2022

Bates Group Expands its National MSB, FinTech, and Cryptocurrency Practice

Bates Group is expanding its national MSB, FinTech, and Cryptocurrency Practice with the addition of three leading Money Services Business industry professionals…

News - June 23 2022

Fighting Elder Financial Exploitation: FinCEN Releases Behavioral and Financial Red Flags, NASAA Publishes Guidance on POAs, CFTC Releases Warnings

Timed to coincide with World Elder Abuse Awareness Day on June 15, 2022, federal and state government officials issued proclamations, advisories, and…

News - June 15 2022

Join Bates Group at the SIFMA C&L Luncheon, June 15th in NYC, featuring Raymond Dorado, Senior Deputy Superintendent - Banking Division, NYSDFS

Bates Group is proud to sponsor the upcoming June SIFMA C&L luncheon program featuring Raymond “Ray” Dorado, Senior Deputy Superintendent - Banking Division,…

News - June 09 2022

Regulatory and Legislative Action on SPACs Gaining Momentum: SEC Rule Proposal and Senate Legislation Introduced; Class Actions Growing

It has been clear for some time that regulators are targeting special purpose acquisition companies (“SPACs”) for increased scrutiny, tighter rules, and…

News - June 08 2022

Meet Bates at the SIFMA C&L Regional: St Louis, June 8, 2022

Meet Bates Director Joe Thomas and Experts Clay Grumke and Jeff Jamieson (pictured, from L) in St. Louis at the SIFMA C&L…

News - June 07 2022

Bates Welcomes New Consulting and Testifying Experts – June 2022

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

Joan Marie Asher, CIFD, IACCP - Hedge Funds, Private Equity, Alternative Investments

News - June 01 2022

Non-Fungible Tokens: a Beginner’s Perspective

What is a Non-Fungible Token (NFT)? We've all heard of NFTs by now, and when this term comes up in the news or a talk…

News - May 31 2022

SEC Proposes Amendments to ESG Disclosure Rules and Forms

The SEC last week issued a proposal to require “registered investment advisers, certain advisers exempt from registration, registered investment companies, and business…

News - May 26 2022

SEC Chair Gensler Speaks: The Latest on the SEC’s Agenda

In a conversation with FINRA President Robert Cook at FINRA’s annual conference last week, SEC Chair Gary Gensler discussed his agency’s rulemaking…

News - May 25 2022

Bates Group’s Brandi Reynolds, CAMS-Audit, quoted in Crypto AML Guide from ComplyAdvantage

Brandi Reynolds, Manging Director of Bates Group's MSB, FinTech and Cryptocurrency practice, is quoted in the recent "Guide to Anti-Money Laundering for Crypto Firms"…

News - May 25 2022

Join Bates at SIFMA’s Anti-Money Laundering & Financial Crimes Conference - Booth #14

Bates Group is a proud sponsor of SIFMA’s Anti-Money Laundering & Financial Crimes Conference, May 25-26, 2022 in New York City. Visit Bates at…

News - May 16 2022

Visit Bates at the 2022 FINRA Annual Conference, Booth #8, in person or virtually May 16-18, 2022. We’re a Proud Sponsor.

Bates Compliance is proud to return as a sponsor of the 2022 FINRA Annual Conference, May 16th-18th, 2022, in Washington, D.C. Join us in person…

News - May 16 2022

Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022

Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022 at the JW Marriott…

News - May 09 2022

Bates Group Expands its MSB, Fintech and Cryptocurrency Practice with Michael Lindemann and Edel Gonzalez - Focusing on AML, Compliance, MSB and MTL & Renewals

Bates Group welcomes Michael Lindemann, Director and Certified Anti-Money Laundering Specialist, and Edel Gonzalez, Senior Consultant and Licensing & Compliance Specialist, to our MSB, FinTech and…

News - May 05 2022

SEC Exams Division Warns Firms to Tighten Up Compliance on the Misuse of Material Non-Public Information

On April 26, 2022, the SEC Division of Examinations urged investment advisers to revisit their compliance policies, practices, and procedures concerning the…

News - May 05 2022

Bates Compliance’s Rhonda Davis and Hank Sanchez to Speak at FMA’s 2022 Securities Compliance Virtual Seminar on “Crypto and Digital Assets - AML and BSA/OFAC Fraud Implications.”

Bates Compliance Managing Directors Rhonda Davis and Hank Sanchez will be speaking at the Financial Market Association's 2022 Securities Compliance Virtual Seminar, May 5-6, 2022. This…

News - May 03 2022

Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022

Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022