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News & Webpages
News - February 07 2023
SEC Division of Examinations Announces 2023 Examination Priorities
The Securities and Exchange Commission’s Division of Examinations has just released its 2023 examination priorities report, providing insights into its risk-based approach, including the areas it believes…
News - February 07 2023
Bates Managing Director Brandi Reynolds to speak at SWIFS Lunch and Learn February 14, 2023
Bates Group AML Compliance and Virtual Assets Managing Director Brandi Reynolds, CAMS-Audit, will appear at the upcoming SWIFS Lunch and Learn "Fireside Chat:…
News - February 06 2023
Are you a regulated financial institution that operates in New York? If so, it is important to familiarize yourself with the New…
News - February 03 2023
Meet Bates Group's Testifying experts specializing in Blockchain and Digital Assets, including Crypto and Virtual Currencies.
News - February 02 2023
NYDFS Guidance on Digital Asset Custody – What It Is and How to Comply
On January 23, 2023, the New York Department of Financial Services (NYDFS) issued new guidance on regulated entities which custody digital assets,…
News - January 24 2023
Issued on January 10, 2023, the comprehensive report from FINRA’s regulatory operations covers 24 topics addressing issues that "remain perennially important, with updates…
News - January 24 2023
New Cryptoasset Certification from ACAMS and Bates Group
Bates Group consultants Brandi Reynolds and John Ashley have combined their expertise with other AML, cryptoasset and law enforcement professionals to create…
News - January 23 2023
Brandi Reynolds Speaking on Cryptocurrency Webinar - Jan. 24, 2023
Bates Managing Director Brandi Reynolds is speaking on the "State of Cryptocurrency As We Head Into The New Year" at the ACAMS Colorado…
News - January 19 2023
Louisiana Puts in Place New Virtual Currency Business Activity License
Businesses that are interested in engaging in virtual currency activities in Louisiana must now take steps to file for a license from…
News - January 18 2023
Human Trafficking Prevention Month - January 2023
January is National Human Trafficking Prevention Month. Financial institutions play a critical role in helping to fight human smuggling and human trafficking by identifying…
News - January 17 2023
Bates Sponsors the NYSBA Annual Meeting 2023 and WILS Symposium, Jan 18-24, 2023
Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 19th Annual Edith I. Spivack Symposium and…
News - January 13 2023
New York Sets Guidance for Approval of Virtual Currency Activities
All New York banking organizations—and all New York licensed branches and agencies of foreign banking organizations—must get approval from the New York…
News - January 11 2023
What Banks Should Consider When Accepting Crypto Customers
Banks are quickly realizing that it’s time to embrace crypto customers. With the rise of digital banking, more people are choosing to…
News - January 10 2023
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
FINRA has announced the publication of the 2023 Report on FINRA's Examination and Risk Monitoring Program. The comprehensive report from FINRA’s regulatory operations covers…
News - January 04 2023
Are You Doing Enough to Supervise Your Options Accounts?
Beginning in August 2021, FINRA examined firms to assess the sufficiency of their practices and controls over options accounts. FINRA just issued…
News - December 21 2022
Bates Group Managing Director Brandi Reynolds Featured in CrossTech Magazine
Bates Managing Director Brandi Reynolds, BSA/AML Compliance, MSBs, FinTech, and Virtual Assets, is featured in the latest issue of CrossTech Magazine. Read…
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'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
NASAA, the North American Securities Administrators Association, published their 2022 Enforcement Report detailing data collected from 48 jurisdictions in 2021. This annual publication…