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News & Webpages
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…
News - October 21 2022
Preparing for an Independent Review of a Money Services Business’s (MSB) AML Program
Independent reviews on AML risk are becoming more important, not only to ensure compliance with current regulation and the documentation of all…
News - October 18 2022
MSBA Webinar: Money Services Business Best Practices + Your Crypto Company
Join us for a new complimentary webinar from MSBA: "Money Services Business Best Practices + Your Crypto Company." October 18, 2022, at…
News - October 17 2022
Visit the Bates Booth at NSCP 2022
Bates Compliance is a proud exhibitor at this year's NSCP National Conference. Visit Bates leaders at booth #25 - Bates Managing Director Hank Sanchez,…
News - October 11 2022
Bates MSB Consulting Expert Rob Ayers in London at the IAMTN Summit 2022
Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates Group in London at the 2022 International Association…
News - October 10 2022
Get BSA/AML Compliance Training at the INFiN MoneyTrends 2022 Conference, Oct. 10-13
Bates Group is proud to be a part of INFiN MoneyTrends 2022, October 10-13 in Austin, TX. Learn about key AML and compliance…
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News - October 07 2022
FinCEN Publishes Final Beneficial Ownership Rule
On September 30, 2022, FinCEN published first of three final rules (and related Fact Sheet) on the reporting requirements for beneficial ownership…
News - October 05 2022
Join Bates at the South Carolina Bitcoin Blockchain Conference, Oct. 5-7, 2022
Join Bates at the South Carolina Bitcoin Blockchain Conference, October 5-7 in Charleston, SC. The conference will focus on Economic Development, Education, and…
News - October 04 2022
How to Prepare for a Regulatory Examination: Bates’ Guide to Getting Ahead of Regulatory Exams
Each year, the SEC and FINRA release Exam and Risk Monitoring Reports highlighting continuing and emerging concerns for the year. These agency…
News - October 04 2022
In a new Risk Alert issued by the Division of Examinations, the SEC reminded investment advisers to review their written policies and…
News - September 19 2022
Seeking to Integrate Reg BI Standards, NASAA Proposes Revisions to REITs and Other Guidelines
NASAA is reminding financial professionals that state regulators remain a force to be reckoned with in an increasingly complex financial marketplace. Describing a need…
News - September 09 2022
Private Funds: New Reporting Proposals from Regulators
As the size of the private funds market has grown, regulators have been increasingly concerned about the risk posed to investors. The sheer…
News - September 07 2022
Bates Welcomes New Experts and Consultants
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Erin Baskett, CPA, CGMA - Brokerage, Investment Advisory, Cryptocurrency Consulting
Patrick Cox - Fintech and…
News - September 02 2022
2022 Summer Roundup – What You Missed, What Is Happening This Fall
Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in…
News - August 31 2022
Continuing to grow and expand its national reach, Bates Group welcomes Paul Lambert as a Strategic Advisor and Consulting Expert. A 30-year…
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News - August 30 2022
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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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
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 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 (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
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…