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Edmund G. Rakowski

Armin Sarabi

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LeeAnna Glessing

Susan Cannilla, CFA

Don M. Chance, Ph.D., CFA

Ashley Drury, CAMS

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Curtis Christensen, CRCP

Senior Consultant

Michael Greene

William Freebing

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W. Scott Simon, J.D., CFP®, AIFA®, BCF®

Raymond Conover, ARe, FLMI, MCM

Jacqueline Nash Bloink, MBA, RHIA, CFE, CHC, CPCO, CPC-I/CPC, CMRS

Craig S. Hurwitz, CFA

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News & Webpages

News - March 04 2021

Are Low-Priced Securities a Backdoor to Fraud? FINRA Says Watch Out

On February 15, 2021, FINRA issued an alert warning firms to pay attention to risks associated with low-priced securities activities. The Notice…

News - March 03 2021

SEC Division of Examinations Announces 2021 Examination Priorities

The SEC Division of Examinations announced its 2021 examination priorities today, focusing on climate-related risks, conflicts of interest for brokers (Regulation Best…

News - March 02 2021

Bates in the News

UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director…

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Booth Raffle - IAA Compliance Conference 2021

News - February 25 2021

IAA 2021 Virtual Investment Adviser Compliance Conference, March 3-5, 2021

Bates Compliance is a proud Supporting Sponsor of the 2021 IAA Virtual Compliance Conference. Alex Russell (Managing Director, White Collar, Regulatory and Internal Investigations)…

News - February 24 2021

In Brief: Regulatory Compliance Roundup

Bates continues to track regulatory developments that have long-term impact. Here, we highlight in brief several ongoing matters that affect regulatory compliance,…

News - February 24 2021

Webinar - SIFMA Reg BI Developments: Family Office Relief and New SEC Exam Priorities

Join SIFMA and the SIFMA C&L Society on February 25, 2021 from 1:00-2:20pm ET for a two-part webinar on current developments on…

News - February 24 2021

Bates Group Teams with Innova Learning to Train, Consult Financial Services Firms to Meet Regulatory Challenges

Bates Group and Innova Learning, Inc. today announced a joint effort to provide advanced training programs, subject matter expertise, and consulting services…

News - February 18 2021

Seeking Growth and a Sound Market, NYDFS Unveils New Cyber Insurance Risk Framework; FINRA and NASAA Heighten Cyber Focus

Federal enforcement agencies and financial regulators have been warning of increased cyber risks to public and private databases, financial institution infrastructure and…

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News - February 12 2021

Connect with Bates at the 2021 SIFMA AML and Financial Crimes Conference to Build and Improve Your FC Program

Bates Group is a proud returning sponsor and virtual exhibitor at the 2021 SIFMA AML and Financial Crimes Conference. Connect with the Bates…

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Booth Raffle - Thank You

News - February 11 2021

How Will FINRA’s New Report on Examination and Priorities Impact Your Firm in 2021?

In a new publication combining its annual report on observations and exam findings with its report on risk monitoring and program priorities,…

News - February 04 2021

New Update from Bates Compliance: Broker-Dealer Branch Office Compliance White Paper

In May 2019, Bates Compliance published a review of the supervision, inspection and operational considerations for broker-dealer branch office compliance. Since then, FINRA…

White Paper

UPDATE Broker-Dealer Branch Office Compliance: Remote Supervision, Inspections and Operational Considerations

News - February 02 2021

FINRA Releases 2021 Report on FINRA’s Examination and Risk Monitoring Program

FINRA has announced the publication of the 2021 Report on FINRA's Examination and Risk Monitoring Program. The new Report combines and replaces…

News - January 28 2021

Bates Welcomes Our New Experts and Consultants

Bates Group is proud to welcome our newest experts and consultants (clockwise from top L):

Andrew Auslander, CFA, FRM - Financial Risk…

News - January 20 2021

Bates is Proud to Sponsor the NYSBA Women In Law Section 17th Annual Symposium

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 17th Annual Edith I. Spivack…

News - January 15 2021

Upcoming Webinar: Developing Your 2021 Plan to Address the SEC’s Top Compliance Findings

The SEC Division of Examinations issued a recent Risk Alert, along with remarks by Director Peter Driscoll, identifying common deficiencies from recent…

News - January 14 2021

Significant Changes to Anti-Money Laundering Framework Enacted into Law

The new Anti-Money Laundering Act (AMLA) became law on January 1, 2021, extending the “risk-based” AML approach to regulation and enforcement. AMLA is the…

News - January 08 2021

SEC Rewrites Rules on Investment Adviser Marketing

Just prior to the new year, the SEC finalized significant changes to rules and forms governing advertising and cash solicitations under the…

News - December 22 2020

SWIFS December 2020 Spotlight on Bates Group CEO Jennifer Stout

Bates Group CEO Jennifer Stout is featured by Southeastern Women in Financial Services (SWIFS) in their December 2020 Member Spotlight.

News - December 21 2020

DOL Finalizes Class Exemption for Investment Advisers

On December 15, 2020, the Department of Labor finalized long-considered regulations on investment advice for retirement accounts under ERISA and the Internal…

News - December 17 2020

Federal Law Enforcement Targets 2300 Money Mules Fueling Fraud in All 50 States

On December 2, 2020, federal law enforcement cracked down on money mules again in a joint operation involving nine federal law enforcement agencies to…

News - December 11 2020

Multi-Branch Office Supervision and Compliance – OCIE Details Deficiencies

Last month, OCIE released a Risk Alert urging SEC-registered investment advisers to consider the “unique risks and challenges presented by “employing a…

News - December 03 2020

Noting Deficiencies, OCIE Warns IAs to Comply with the Compliance Rule; Director Driscoll Emphasizes CCO Empowerment

On November 19, 2020, OCIE issued an alert on common deficiencies identified in recent examinations related to the obligations on investment advisers…

News - December 01 2020

FINRA is Reviewing Firms’ Systems and Procedures for Providing Customer Waivers/Rebates through Rights of Reinstatement (RoR) on Mutual Fund Purchases

FINRA is conducting a targeted review of brokerage firms' systems and procedures for providing customers waivers and rebates available through Rights of…

News - November 30 2020

IAA 2020 Compliance Workshops December 2-3, 2020 - Sponsored by Bates Compliance

The Investment Adviser Association (IAA) will be holding their 2020 Compliance Workshops on Wednesday and Thursday, December 2-3, 2020. This virtual event features…

News - November 23 2020

SEC Allows Remote Inspections Through 2021

On November 18, 2020, the SEC made effective FINRA’s proposed temporary rule amendment allowing remote inspections through December 31, 2021. The…

News - November 20 2020

Tracking FinCEN Moves: Regulator Issues a Flurry of Advisories on Ransomware, Unemployment, Human Trafficking, Rule Amendments and More

The Financial Crimes Enforcement Network (FinCEN) continues its fast pace, issuing important new advisories, statements and rulemakings. Since September, FinCEN has issued…

News - November 19 2020

NYCLA CLE Webinar December 2nd: “Who’s Zoomin’ Who?” Virtual FINRA Hearings, Mediations and Developments in the Real World

Join the New York Country Lawyers Association’s Securities & Exchange Committee on Wednesday, December 2, 2020 at 2 pm, when distinguished CLE…

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