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News & Webpages
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
News - February 17 2022
2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar
Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related…
News - February 09 2022
FINRA Releases 2022 Report on FINRA’s Examination and Risk Monitoring Program
FINRA has announced the publication of the 2022 Report on FINRA's Examination and Risk Monitoring Program. Stay tuned for our annual commentary,…
News - February 04 2022
Crypto Regulation: Speed and Size of Evolving Market Creates Urgent Need for Framework
In 2021, the market for cryptocurrencies nearly tripled to more than $2 trillion. Recent movement toward some framework over cryptocurrency seeks to balance…
News - February 03 2022
2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar
Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related…
News - February 02 2022
Celebrating Black History Month 2022
Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black…
News - January 28 2022
Bates Group Welcomes New Consulting Expert Rob Ayers
Bates Group is proud to welcome Rob Ayers as a Business Development and Consulting Expert with our Money Services Business, Fintech and…
News - January 24 2022
In a SIFMA “One-on-One” virtual event sponsored by Bates Group, FINRA CEO Robert Cook sat down with SIFMA President Ken Bentson to…
News - January 20 2022
Join Bates at the 2022 NYSBA Annual Meeting and Presidential Summit
Bates is proud to participate in the 2022 New York State Bar Association Annual Meeting and its marquee event, the Presidential Summit, on Thursday, January…
News - January 19 2022
Join The SIFMA Compliance & Legal Society for a one-on-one conversation between FINRA president and CEO Robert Cook and SIFMA president and…
News - January 18 2022
Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 18th Annual Edith I. Spivack Symposium…
News - January 12 2022
CLE Webinar January 12, 2022 - Demystifying Cryptocurrency Law & Compliance
The cryptocurrency legal and compliance landscape is constantly changing, and there’s more scrutiny than ever before on the industry. Please join leading…
News - January 06 2022
SEC Issues New Guidance on Form CRS Disclosures
Just before Christmas, the SEC issued new guidance on compliance with the broker-dealer/investment adviser-mandated Client Relationship Summary Form (“Form CRS”). The release…
News - December 21 2021
The SEC’s New Marketing Rule - Webinar Takeaways
Get the top takeaways to help you deconstruct the SEC's 400-plus-page adopting release of the new Marketing (and Solicitor) Rule. Read this helpful…
News - December 14 2021
Hank Sanchez on Top Compliance Issues for 2022 - Consultant’s Corner Video
Bates Compliance Managing Director Henry “Hank” Sanchez, Esq., talks with Carlos Guillen from BasisCode Compliance about what you should consider when outsourcing compliance…
News - December 02 2021
This month, the SEC Division of Examinations issued two alerts based on staff findings from recent examination initiatives. The first concerned advisers…
News - November 23 2021
In a tally of enforcement actions taken in Fiscal Year 2021 (which ended September 30th), the SEC reported that its efforts “spanned…
News - November 18 2021
NASAA Survey Reveals Some Firms Not Operating Under Reg BI One Year Later
How SEC Regulation Best Interest (“Reg BI”) became the prevailing federal standard for broker-dealer investment recommendations to clients is a long and…
News - November 16 2021
Join Bates in Miami for the IMTC World Conference, November 16-19, 2021
Join Bates Group at the IMTC World Conference 2021, the signature event of the Cross Border Transfers & Payments Industry, November 16-19,…
News - November 15 2021
New Crypto Regulation: Taxation and Oversight Underway, Stablecoins Gaining Support
Government entities have begun in earnest to address concerns over the rapidly expanding crypto marketplace. Congress has passed the Infrastructure Investment and…
News - November 10 2021
ABA Women in Litigation Conference
Join Bates Group at the American Bar Association’s 2021 Women in Litigation Joint CLE Conference, November 17-19 at the Boston Park Plaza in…
News - November 08 2021
Bates is a Silver MemberAlly Sponsor of the 2021 NSCP National Conference
Bates Compliance is proud to be a Silver MemberAlly sponsor of the 2021 NSCP National Conference, November 8-10 at the Gaylord National…
News - November 04 2021
DOL Extends Non-Enforcement Compliance Relief for Certain Prohibited Transaction Exemptions
In a Field Assistance Bulletin issued on October 25, 2021, the Department of Labor extended relief through Jan. 31, 2022 on a…
News - November 02 2021
Join Bates at Legalpalooza November 4, 2021 - Sponsored by the Morris County Bar Association
Join Bates at Legalpalooza, the Premier one-day virtual CLE event sponsored by the Morris County (NJ) Bar Association, on November 4, 2021…
News - November 01 2021
Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations.
News - October 29 2021
SEC Director Advocates for “Proactive Enforcement” as Challenges Develop for Reg. BI
On October 6, 2021, in his first speech as SEC Enforcement Division, Director Gurbir Grewal urged participants at a PLI Broker/Dealer Regulation and Enforcement Conference…
News - October 21 2021
FINRA Warns Firms to Pay Attention to FinCEN AML Priorities
On October 8, 2021, FINRA urged member firms to review and update their Anti-Money Laundering compliance programs in light of the Financial Crimes…
News - October 20 2021
Bates Group Response to COVID-19 (Updated)
As the news and impact of COVID-19 continue to evolve, Bates Group continues to promote the health and safety of our employees, consultants,…