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News & Webpages
News - March 27 2025
Revitalizing an Underperforming AML Program: A Root Cause Analysis Approach
An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis…
News - March 26 2025
Join Bates Group at the DC Blockchain Summit 2025
Connect with Jason Fitch at the 2025 DC Blockchain Summit on March 26 in Washington, D.C. to learn more about Bates Group's consulting services,…
News - March 25 2025
The SEC has updated its Marketing Rule FAQs with key clarifications on extracted performance and portfolio characteristics. Advisers who advertise performance should…
News - March 23 2025
Bates Group Sponsors the SIFMA 2025 C&L Annual Seminar
Bates Group is a proud sponsor of the 2025 SIFMA C&L Annual Seminar, March 23-26, 2025 in Austin, Texas.
News - March 20 2025
Mastering RIA Acquisitions: A Strategic Framework for Success
RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions…
News - March 20 2025
Live Webinar: Fintech and Consumer Regulations in the New Trump Administration
Join us for a timely and insightful live webinar exploring the shifting regulatory and legal landscape for fintech, financial services, and consumer…
News - March 13 2025
AI Agents and Crypto: Market Impact
AI agents are revolutionizing the crypto market, automating trades, analyzing vast datasets, and optimizing decentralized finance. With AI-driven tokens gaining momentum, understanding…
News - March 10 2025
Armin Sarabi Quoted in InvestorCOM Article: Navigating the Fiduciary Rule in 2025
In a recent article from InvestorCOM, Armin Sarabi shares key insights on the evolving fiduciary rule, compliance best practices, and technology’s role…
News - March 05 2025
Join Bates Group at the 2025 IAA Compliance Conference
Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. to learn about practical insights and best practices that…
News - February 27 2025
Understanding AI Agents: A Comprehensive Overview
AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide…
News - February 24 2025
Brandi Reynolds to Speak at Mastercard’s Global Fintech Week Kick-off in NYC
We’re excited to share that Brandi Reynolds will be speaking at Mastercard’s Global Fintech Week Event February 24, 2025
News - February 23 2025
FINRA 2025 Regulatory Oversight Report with Bates Comparison Chart
FINRA’s 2025 Regulatory Oversight Report highlights key compliance priorities, including AML system testing, FINOP obligations, AI in financial services, investment fraud risks,…
News - February 20 2025
Rhonda Davis to Speak at the 21st Annual Puerto Rican Symposium of AML
Connect with Bates Group in San Juan, Puerto Rico for the 21st Annual Puerto Rican Symposium of AML.
News - February 19 2025
Operation Chokepoint 2.0: How Crypto Firms Are the New Target of Financial Exclusion
Regulatory opacity and overreach are forcing legitimate crypto firms out of banking. Learn how outdated policies impact financial…
News - February 11 2025
Bates Group will be at the NMLS 2025 Annual Conference
Connect with Bates Group at the 2025 NMLS Annual Conference & Training in Atlanta from February 11-14
News - February 04 2025
Meet The Bates Group Team at “One Great Night!”
Bates Group sponsors "One Great Night," February 4, 2025, hosted by SWIFS and FSDA. Join us for industry insights, networking, and a…
News - February 03 2025
Brandi Reynolds To Co-Chair Blockchain Association’s Compliance Working Group
Brandi Reynolds has been named Co-Chair of the Blockchain Association’s Compliance Working Group, leading efforts to shape crypto compliance standards and regulatory…
News - February 03 2025
5 Ways AI is Transforming Financial Institutions
Bates Group provides expert guidance and tailored solutions to help organizations mitigate AI-related risks, ensure regulatory compliance, and optimize AI strategies…
News - January 30 2025
Live CLE Program: Crypto Opportunities in 2025
Join Bates Group and Steptoe for an exciting live CLE program regarding emerging trends and key points of interest for crypto businesses…
News - January 29 2025
FINRA Has Published Its 2025 Regulatory Oversight Report
FINRA has published its 2025 Regulatory Oversight Report, highlighting key compliance insights, emerging risks, and new regulatory developments for member firms.
News - January 22 2025
Banking as a Service: A Comprehensive Risk Management Framework for Banks, MSBs, and Crypto Firms
Explore the six key pillars of a risk management framework tailored for banks, MSBs, and crypto firms in the transformative Banking as…
News - January 16 2025
Navigating Compliance Hurdles as a BSA Officer
As regulatory scrutiny intensifies, BSA Officers face increasing challenges in executing their vital risk management responsibilities. Our latest article explores common hurdles…
News - January 14 2025
Fireside Chat: 2024 Sanctions Breakdown & Trump 2.0
Bates Group is proud to join the panel for this critical discussion on 2024 sanctions trends and what’s ahead under the incoming…
News - January 08 2025
CFPB Semiannual Regulatory Outlook – Could Any of These Rulemakings be Paused?
Discover how the CFPB's latest regulatory agenda could impact fintechs and compliance efforts in 2025. Key insights inside.
News - December 18 2024
Preparing for an Independent Review of MSB AML Programs
Both the FFIEC Manual and the MSB Examination Manual provide frameworks to assess MSB AML program integrity and effectiveness through independent reviews.…
News - December 16 2024
Banking as a Service: A Comprehensive Guide to Regulatory Success for Banks and Fintechs
Navigate the complex world of BaaS with confidence. This essential guide reveals how banks and fintechs can transform regulatory challenges into competitive…
News - December 12 2024
Update: SEC Compliance Insights From CCO Outreach Program
Key Takeaways from the SEC's National Compliance Outreach live webcast for investment advisers and investment companies on November 7, 2024.
News - December 11 2024
Live Event - CFPB’s Data Shift: Is Your Institution Ready for What’s Next?
Join Bates Group and sponsor McCarthy Hatch for a live program on CFPB data collection.
News - December 09 2024
A Strategic Guide to AML KPIs and KRIs for Fintech Financial Crimes Officers
Discover how strategic KPIs and KRIs can transform your AML compliance from a regulatory burden to a powerful business intelligence tool.
News - November 27 2024
Avoiding Landmines in AML Vendor Management
AML Officers face a complex landscape of potential challenges when working with vendors. Robust ongoing due diligence can help avoid potentially damaging or…
News - November 19 2024
Meet Bates Group at Crosstech World 2024
Bates Group is a proud partner of the 2024 Crosstech World Conference, November 19-21 in Hollywood, Florida.
News - November 13 2024
Fireside Chat: Effective Fintech Onboarding for BaaS Banks
Join us for a virtual program with Castellum.AI about the importance of compliance when banks engage with fintech partners