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News & Webpages
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 Learn how outdated policies impact financial…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 12 2025
Seven Essential Benefits of Outsourced CCO Solutions for RIA Firms
Discover how outsourced Chief Compliance Officer (CCO) solutions can help RIA firms enhance compliance, manage costs, and drive growth. Learn the seven…
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 29 2025
Preparing For a Compliance Management System Review: A Practical Guide
Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies.…
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
News - November 07 2024
SEC Virtual Compliance Outreach Seminar for Investment Professionals - November 7
Essential SEC compliance seminar for investment professionals - CCOs and senior compliance personnel: Join key sessions on security, marketing rules, and regulatory…
News - October 28 2024
Bates Group at INFiN Money Trends 2024
Bates Group Strategic Advisor Connie Fenchel, CAMS is at the INFiN Money Trends 2024 Conference, October 28-30 in Tampa.
News - October 27 2024
Meet Bates Group at Money20/20 USA 2024
Meet Bates Fintech and Compliance leaders at the Money20/20 USA conference October 27-30, 2024 in Las Vegas
News - October 27 2024
Meet Bates Group Compliance Leaders at the 2024 NSCP National Conference
Join Bates Group at the NSCP National Conference, October 27-30, 2024 in Dallas, TX. We are a proud sponsor of this year's event.
News - October 21 2024
The SEC Division of Examinations has released its exam priorities for fiscal year 2025, outlining a comprehensive approach to oversight that emphasizes…
News - October 16 2024
Bates Group at the SIFMA C&L New York Regional Seminar
Join Bates Group Managing Director Jennifer Cunnungham at the SIFMA C&L 2024 New York Regional Seminar - Wednesday, October 16, 2024 in New York…