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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 - 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…

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Matt test 20221007

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Compliance & AML Solutions

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Compliance & AML by Entity/Industry

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State Licensing & Other Support

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 - April 14 2022

SEC 2022 Exam Priorities and Chart: Retail Investor Protection, Private Funds, ESG, Cybersecurity and Crypto-Assets Top this Year’s List

In its annual priorities report, the SEC Examinations Division focused on areas of “heightened risk to investors, registrants and the markets.” The priorities…

News - March 03 2022

Navigating the Money Transmitter Licensing Process

Determining if you are a money transmitter and then navigating the licensing requirements can be a daunting task. This guide is meant…

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Thank you for contacting Bates Group

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The Practicalities and Opportunities of Harnessing Technology and Big Data in Regulatory Enforcement and Compliance Practices

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Bates Webinar Evaluation - September 9, 2021 - Deconstructing the SEC’s New Marketing (and Solicitor) Rule

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Bankruptcies are Rising - How is That Impacting Equity Holders?

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Working at Bates

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What Makes Bates Different?

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Bates U.S. Chartbook - 2020 Year in Review

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Regulatory Concerns Grow for SPACs

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Booth Raffle - 2021 FINRA Annual Conference

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Bates Webinar Evaluation - April 22, 2021 - Getting Ahead of an SEC Examination

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Reflections on an Unprecedented Year

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Special Purpose Acquisition Companies (SPACs): A Summary

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The Anti-Money Laundering Act of 2020 and the Shifting AML Framework

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Booth Raffle - IAA Compliance Conference 2021

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Find the Right Expert

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Custom Corporate Training

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Booth Raffle - Thank You

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UPDATE Broker-Dealer Branch Office Compliance: Remote Supervision, Inspections and Operational Considerations

News - December 01 2020

FINRA is Reviewing Firms’ Systems and Procedures for Providing Customer Waivers/Rebates through Rights of Reinstatement (RoR) on Mutual Fund Purchases

FINRA is conducting a targeted review of brokerage firms' systems and procedures for providing customers waivers and rebates available through Rights of…

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Bates Compliance Roundtable: Highlights from Bates’ Zoom Call on Business Continuity Planning

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Bear Markets, Black Swan Events and Volatility

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