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News - June 30 2023

Legislative Alert: Louisiana Enacts New Virtual Currency Act; North Dakota Adopts Money Transmission Modernization Act

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

NYCLA Live CLE Webinar: How To Handle a Securities Regulatory Investigation - Wednesday, 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’s Rhonda Davis to speak on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in NYC

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’s John Ashley to Speak on “Banking Digital Currency” Webinar, Hosted by the American Bankers Association, 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 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 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 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 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 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…