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News - December 06 2023

Catch Bates Expert Rob Ayers on the Next CrossTech Virtual Roundtable - Wednesday, December 6

Bates Expert Rob Ayers will be speaking at the Decmber 6, 2024 CrossTech Virtual Roundtable (VRT) titled "FedNow's Instant Effect: Cross-Border Payment…

News - November 21 2023

Consumer Compliance Alert: CFPB Proposes New Rule Covering Digital Payment Apps

The CFPB has recently proposed a new rule to define the market for general-use digital consumer payment applications. The proposed market would cover…

News - November 15 2023

Join Bates for the Greensfelder Annual Securities Symposium in St. Louis - November 15, 2023

Join us for the Annual Greensfelder Securities Symposium November 15th. Bates Cybersecurity expert Patrick Cox will be speaking on the AI panel.

News - November 14 2023

CrossTech World 2023 - November 14-16, 2023 in Hollywood, FL

Join Bates at CrossTech World 2023, November 14-16, 2023 in Hollywood, Florida

News - November 09 2023

A Look At 2023 FINRA Arbitration Award Stats: What’s Trending, What’s Not?

With 2023 wrapping up soon, Bates takes a look at what is and is not trending in matters resolved through FINRA arbitration through…

News - November 08 2023

Bates Expert Patrick Cox to Speak on IBDC Cybersecurity Webinar November 8th

Bates Expert Patrick Cox will be speaking on IBDC's upcoming Cybersecurity Webinar November 8th, 2023.

News - November 07 2023

Three Years Later, FINRA Continues to Scrutinize Rights of Reinstatement. Is Your Firm Next?

FINRA is continuing its focus on eligible customers receiving Rights of Reinstatement (“ROR”) benefits where appropriate. Read our full alert for a…

News - November 03 2023

Join Bates at the SIFMA C&L Forum in St. Petersburg, FL - Friday, November 3, 2023

Join Bates leaders Jennifer Stout and Hank Sanchez at the SIFMA C&L Forum, Friday, November 3rd in St. Petersburg, FL. Co-hosted by the FSDA.

News - November 02 2023

Congratulations to the FSDA on their 90th Anniversary!

Bates is a proud sponsor of the Florda Securities Dealers Association's (FSDA) 90th Anniversary Celebration, Thursday, November 2, 2023.

News - October 30 2023

5 Tips to Prepare for NMLS Annual License Renewal Season - Starting November 1

State regulators are encouraging individuals and businesses to start preparing now for the Nov. 1 start of Nationwide Multistate Licensing System (NMLS)…

News - October 22 2023

Join Bates at Money 20/20, October 22-25, 2023

Bates Director Michael Lindemann will be at the Money 20/20 conference Oct. 22-25 in Las Vegas.

News - October 17 2023

Bates Sponsors The 2023 Raymond James Valor Golf Outing October 28th

Bates is proud to be a sponsor of the 5th annual Raymond James Valor golf outing, Saturday, October 28th.

News - October 16 2023

Bates is a Proud Sponsor of the 2023 NSCP National Conference

Join Bates at the NSCP National Conference, October 16-18, 2023 in Dallas, TX. We are a proud sponsor of this year's event.

News - October 16 2023

SEC Division of Examinations Announces 2024 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report. Stay tuned for our annual commentary and chart, coming soon,…

News - October 06 2023

Bates Group Welcomes Chris Riper as Managing Director, Litigation and Regulatory Practice

Bates is pleased to announce the return of Chris Riper as Managing Director for complex litigation and regulatory matters.

News - October 02 2023

Join Bates Group at ACAMS 2023 - The Assembly Las Vegas

Join Bates Group at ACAMS 2023 - The Assembly Las Vegas, October 2-4 at the ARIA Resort & Casino.

News - September 26 2023

FinCEN Alert: “Pig Butchering” Scams and the Importance of Suspicious Activity Reporting for Financial Institutions

Financial institutions play a vital role in detecting and reporting suspicious activity that may be related to financial crimes. The Financial…

News - September 26 2023

Rob Ayers to Speak at IPR Global 2023 Payments and Remittance Conference September 26-27 in London

Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates in London at the 2023 Innovation…

News - September 19 2023

SIFMA 2023 Women’s Leadership Forum

Meet Bates Group Leaders and Experts David Birnbaum and Ira Hammerman at SIFMA’s 2023 Women’s Leadership Forum in NYC. Tuesday, September 19th.

News - September 14 2023

So Long Summer – Hello Fall! What You Missed and What is Happening This Fall

The summer has flown by, and now back-to-school (and back-to-office) is here again. We’ve compiled some items you might have missed and…

News - September 11 2023

Bates Sponsors the 2023 MTRA Annual School and Conference

Join Bates Group at the 2023 Money Transmitter Regulators Association (MTRA) Annual School and Conference - September 11-14 in Portland, OR. 

News - September 11 2023

Join Bates at the SIFMA C&L Regional Seminar Charlotte - Monday, September 11, 2023

Join Bates leaders and experts at the SIFMA C&L Society 2023 regional seminar on September 11, 2023, in Charlotte, NC.

News - September 01 2023

Bates Expert Clay Grumke on CNBC’s Insider Trading Video

Bates Consulting and Testifying Clay Grumke was recently interviewed by CNBC for a short video documentary on Insider Trading. Watch now!

News - September 01 2023

SEC Adopts Private Fund Rules, Instructing All Investment Adviser Firms to Document Annual Reviews Now

With the SEC's adoption of the Private Fund Rules, the amendment now requires registered investment advisers to document their annual review in…

News - August 28 2023

Join Bates at the 2023 NAPSA Conference in Boston

Join Bates Group Director and Expert Joe Thomas at the 2023 National Adult Protective Services Association (NAPSA) Conference. August 28-30, 20203 in…

News - August 15 2023

Live Webinar - Asset Custody: Regulations and Best Practices

Join us for an informative live webinar where we will delve into the crucial aspects of managing asset custody, including regulatory requirements, best…

News - August 14 2023

Bates Expert Patrick Cox Quoted in Financial Advisor IQ Article on New SEC Proposal

Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto concerning the Securities and Exchange…

News - August 02 2023

Webinar: How to Make Adverse Media Your Secret Risk Detection Weapon

Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by…

News - July 26 2023

Join Bates for the MSBA Lunch & Learn Series on MTMA implementation - July 19 & July 26

Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation…

News - July 19 2023

Webinar - Risk Assessments: The Compliance Officer’s Trusty Sidekick!

Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management. 

News - June 30 2023

Legislative Alert: Louisiana Enacts New Virtual Currency Act; North Dakota Adopts Money Transmission Modernization Act

State Legislatures in Louisiana and North Dakota have recently enacted or adopted new rules for virtual currency and money transmitters. Bates has the…

News - June 22 2023

Bates is a Proud Sponsor of the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC

Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.