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News - June 03 2021

Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 2: Reg BI

As we previously relayed in Part 1 of this article, the honeymoon period in which firms needed to show merely a “good…

News - June 03 2021

Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 1: Form CRS

The honeymoon period in which firms needed to show merely a “good faith” effort at compliance with Regulation Best Interest (“Reg BI”)…

News - June 02 2021

Upcoming CLE Webinar June 16th - Current and Future Employment Issues: What to Expect Going Forward

Join Bates Group for this new, complimentary 1-hour webinar examining the effects that remote working conditions during the pandemic had on supervisory…

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Bates U.S. Chartbook - 2020 Year in Review

News - May 20 2021

FINRA Warns Members of Increase in Online Account Takeovers and to Follow Rules on Arbitration Agreements; Seeks Diversity and Inclusion Improvements

In a sign of ramped-up concern, FINRA urged members to ensure that cybersecurity programs and practices are in place to protect customers…

News - May 18 2021

Bates AML and Financial Crimes: In Brief - AML Resources to Support Your Professional Success

Read our latest Bates AML & Financial Crimes: In Brief publication, bringing industry leaders important AML and Financial Crimes news and updates, including…

News - May 13 2021

Visit the Bates Compliance Virtual Exhibit Booth at the FINRA Annual Conference, May 18-20, 2021

Bates Compliance is proud to return as an exhibitor to the 2021 FINRA Annual Conference May 18-20, 2021. Visit our virtual exhibit…

News - May 13 2021

NASAA Touts Latest Model Rules on Compliance, Continuing Education for Investment Advisers; Offers Guidance on Cybersecurity

In its April 2021 Investment Adviser Section Report highlighting 2020 activities, the North American Securities Administrators Association ("NASAA") promoted the November 24, 2020…

News - May 10 2021

Webinar Tomorrow May 11th: Achieving AML Program Success through AML Optimization and Data-Driven Compliance: What AML Practitioners Need to Know

Anti-Money Laundering continues to be a top target of examiners and enforcement, resulting in professional repercussions and millions of dollars of fines…

News - May 06 2021

DOL Releases New Guidance on Cybersecurity and on Exemptions for Investment Advice Fiduciaries

In December 2020, the Department of Labor adopted regulations on investment advice for retirement accounts under ERISA, providing a class exemption for persons…

News - May 03 2021

Bates Upcoming This Week: SWIFS Spring Symposium and Spirits of Pace

Bates CEO Jennifer Stout and Expert Linda Houston will be speaking at the upcoming Fifth Annual Southeastern Women in Financial Services (SWIFS) Spring…

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Regulatory Concerns Grow for SPACs

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Booth Raffle - 2021 FINRA Annual Conference

News - April 23 2021

Upcoming Webinar from Bates and NICE Actimize : What does the new AML Act of 2020 mean for your organization?

Bates AML and Financial Crimes and NICE Actimize will be co-hosting a webinar on the Anti-Money Laundering Act of 2020 ("AMLA").on April 28, 2021 at 11:00…

News - April 23 2021

SEC Elevates ESG in New Alert Focusing on Disclosures, Observations and Effective Practices

In a significant number of directed actions, the SEC has communicated that it intends to move aggressively to encourage ESG investing and…

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Bates Webinar Evaluation - April 22, 2021 - Getting Ahead of an SEC Examination

News - April 21 2021

With Increase in Options Trading, FINRA Issues Alert on Options Account Approval, Supervision and Margin Requirements

On April 9, 2021, FINRA issued guidance reminding members of their obligations on customer options accounts. The new alert flows from a…

News - April 20 2021

Bates Welcomes Our New Experts and Consultants

Bates Group welcomes our new experts and consultants (Pictured from L):

• Ana Suárez - Chief Compliance Officer, BD and IA Compliance, AML and…