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News & Webpages
News - April 05 2021
Bates Compliance Webinar: Getting Ahead of an SEC Examination
It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how…
News - April 05 2021
Update on New SEC Marketing Rule: It’s All or Nothing
The SEC’s new marketing and advertising rule will impose considerable oversight, recordkeeping and disclosure requirements affecting “100 percent” of investment advisers when…
News - April 01 2021
Recent FINRA activity demonstrates the continuous set of demands on the organization to maintain progress on ongoing initiatives (addressing broker misconduct); keep…
News - March 18 2021
Regulatory Concerns Grow as Market for SPACs Heats Up
On March 10, 2021, the SEC published an alert in which the Office of Investor Education and Advocacy cautioned investors to be wary…
News - March 12 2021
SEC 2021 Exam Priorities: Climate Change, Reg BI, Disclosures and Information Security Top the List
The Securities and Exchange Commission’s Division of Examinations announced its 2021 examination priorities, focusing on climate-related risks, Regulation Best Interest, fiduciary duty for investment…
News - March 08 2021
Bates Celebrates International Women’s Day 2021
We are honoring women globally, committing to forge a more inclusive world, and celebrating our Bates Group colleagues, clients, and friends this 2021 International Women's…
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
UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director…
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 and Innova Learning, Inc. today announced a joint effort to provide advanced training programs, subject matter expertise, and consulting services…
News - February 18 2021
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
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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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…
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.