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News & Webpages
News - June 23 2022
Timed to coincide with World Elder Abuse Awareness Day on June 15, 2022, federal and state government officials issued proclamations, advisories, and…
News - June 15 2022
Bates Group is proud to sponsor the upcoming June SIFMA C&L luncheon program featuring Raymond “Ray” Dorado, Senior Deputy Superintendent - Banking Division,…
News - June 09 2022
It has been clear for some time that regulators are targeting special purpose acquisition companies (“SPACs”) for increased scrutiny, tighter rules, and…
News - June 08 2022
Meet Bates at the SIFMA C&L Regional: St Louis, June 8, 2022
Meet Bates Director Joe Thomas and Experts Clay Grumke and Jeff Jamieson (pictured, from L) in St. Louis at the SIFMA C&L…
News - June 07 2022
Bates Welcomes New Consulting and Testifying Experts – June 2022
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Joan Marie Asher, CIFD, IACCP - Hedge Funds, Private Equity, Alternative Investments
…News - June 01 2022
Non-Fungible Tokens: a Beginner’s Perspective
What is a Non-Fungible Token (NFT)? We've all heard of NFTs by now, and when this term comes up in the news or a talk…
News - May 31 2022
SEC Proposes Amendments to ESG Disclosure Rules and Forms
The SEC last week issued a proposal to require “registered investment advisers, certain advisers exempt from registration, registered investment companies, and business…
News - May 26 2022
SEC Chair Gensler Speaks: The Latest on the SEC’s Agenda
In a conversation with FINRA President Robert Cook at FINRA’s annual conference last week, SEC Chair Gary Gensler discussed his agency’s rulemaking…
News - May 25 2022
Bates Group’s Brandi Reynolds, CAMS-Audit, quoted in Crypto AML Guide from ComplyAdvantage
Brandi Reynolds, Manging Director of Bates Group's MSB, FinTech and Cryptocurrency practice, is quoted in the recent "Guide to Anti-Money Laundering for Crypto Firms"…
News - May 25 2022
Join Bates at SIFMA’s Anti-Money Laundering & Financial Crimes Conference - Booth #14
Bates Group is a proud sponsor of SIFMA’s Anti-Money Laundering & Financial Crimes Conference, May 25-26, 2022 in New York City. Visit Bates at…
News - May 16 2022
Bates Compliance is proud to return as a sponsor of the 2022 FINRA Annual Conference, May 16th-18th, 2022, in Washington, D.C. Join us in person…
News - May 16 2022
Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022 at the JW Marriott…
News - May 09 2022
Bates Group welcomes Michael Lindemann, Director and Certified Anti-Money Laundering Specialist, and Edel Gonzalez, Senior Consultant and Licensing & Compliance Specialist, to our MSB, FinTech and…
News - May 05 2022
On April 26, 2022, the SEC Division of Examinations urged investment advisers to revisit their compliance policies, practices, and procedures concerning the…
News - May 05 2022
Bates Compliance Managing Directors Rhonda Davis and Hank Sanchez will be speaking at the Financial Market Association's 2022 Securities Compliance Virtual Seminar, May 5-6, 2022. This…
News - May 03 2022
Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022
Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022
News - April 28 2022
SEC Spotlight: New Cybersecurity Rules Heading Your Way
As part of SEC Chair Gary Gensler's ambitious cybersecurity agenda, the SEC has proposed rules and and made strides to address a number…
News - April 14 2022
In its annual priorities report, the SEC Examinations Division focused on areas of “heightened risk to investors, registrants and the markets.” The priorities…
News - April 12 2022
SEC Proposes New Disclosure Rules on Climate Change
In a broad new rule proposal, the Securities and Exchange Commission would require both domestic and foreign registrants to provide climate-related information…
News - April 07 2022
FINRA Clarifies and Cautions Firms on Potential Supervisory Liability of Chief Compliance Officers
In a reminder to (i) firm management on their supervisory obligations under FINRA Rules, and (ii) Chief Compliance Officers on their potential liability…
News - March 31 2022
President Biden Issues Executive Order on Crypto Seeking “Whole-Of-Government Approach”
In a recent article assessing the regulatory horizon for cryptocurrency, Bates identified several areas of uncertainty which raised certain questions. We may now…
News - March 30 2022
SEC Division of Examinations Announces 2022 Examination Priorities
The SEC Division of Examinations has just released its 2022 examination priorities report, focusing on Private Funds, ESG Investing, Standards of Conduct (including Regulation…
News - March 30 2022
FINRA Proposes Rule to Speed Up Arbitration for Seriously Ill or Elderly Claimants
FINRA has proposed amendments to the Code of Arbitration Procedure to accelerate certain case processing deadlines for seriously ill or elderly parties.…
News - March 29 2022
Podcast: Bates’ Brandi Reynolds Speaks on “How to Scale an AML/CFT Program for Crypto”
With crypto services now reaching a mass audience, how do firms scale their compliance efforts? Bates Managing Director Brandi Reynolds recently joined ComplyAdvantage for…
News - March 22 2022
Dispelling Five Common Misconceptions About Cryptocurrencies
As cryptocurrency becomes more mainstream, many people are looking to learn more, including bankers and regulators. Financial institutions are also currently trying to…
News - March 17 2022
Will a Current Lawsuit Redefine Cryptocurrency as Property for Tax Purposes?
A determined litigant is hoping to define, or redefine, a type of cryptocurrency through a lawsuit against the Internal Revenue Service. The…
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…
News - March 03 2022
Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.
Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4. 2022. Visit our booth in the exhibit hall and connect…
News - February 28 2022
SEC Targets More Firms for Form CRS Failings: Is Your Firm Next?
In a press release touting twelve additional enforcement actions against firms for failing to provide complete information on, file, or deliver Form…
News - February 24 2022
FinCEN Roundup: Recent Developments, Rulemakings on Anti-Money Laundering
On January 1, 2021, the Anti-Money Laundering Act ("AMLA") became law. The far-reaching legislation expanded the Bank Secrecy Act regulatory framework by,…
News - February 18 2022
FINRA Releases 2022 Exam and Risk Monitoring Report - Plus Bates’ Annual FINRA Chart
Issued on February 9th, 2022, the FINRA 2022 Exam and Risk Monitoring Report highlights several new areas of FINRA focus that back up…
News - February 17 2022
Meet Our Consulting and Testifying Experts
Bates Group welcomes new testifying and consulting experts