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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…

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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

News - February 14 2023

SIFMA C&L Future Leaders CLE Program: “Lessons Learned from Crisis in the Financial Markets”

Bates is a proud sponsor of  the upcoming CLE program "Lessons Learned from Crisis in the Financial Markets," Wednesday, February 15th in…

News - February 13 2023

Spotting and Reporting Romance Scams

Romance scams are a growing concern, as evidenced by The Federal Trade Commission’s report that romance fraud is one of the most…

News - February 10 2023

FINRA and SEC Increase Focus on Reg BI Compliance – What You Need to Know

In its latest annual report on examinations and risk monitoring, FINRA offered the regulator’s perspective on strengthening compliance programs on Reg BI…