Search Results:

Bates Service

Examination Preparation and Support

Bates Service

Registration, Regulatory Filings, and Ongoing Support

Bates Service

Quantitative Damage Analysis

Bates Service

Advisor Transition Dispute Litigation

Bates Service

Technology and Systems Reviews

Bates Service

Precious Metal Dealers

Bates Service

Compliance and AML for Banks

Bates Service

Exempt Reporting Advisers

Bates Service

Private Funds

Bates Service

Independent Reviews

Bates Service

Outsourced Compliance/CCO Support

Bates Service

Business Continuity Program

Bates Service

Compliance Programs

Bates Service

Code of Ethics Program

Bates Service

Registration & Filings

Bates Service

Bank Account Facilitation

Bates Service

Expert Compliance Training

Bates Service

Advisory Account Reviews

Bates Service

Share Class Disputes

Bates Service

Supervision Program Support

Bates Service

State Licensing Acquisition, Maintenance and Renewal

Bates Service

BSA/AML Independent Reviews

Bates Service

BSA/AML/OFAC Compliance

Bates Practice

Money Services Businesses (MSB), Banks, FinTech and Cryptocurrency

Bates Service

Matrimonial and Divorce Services

Bates Service

Consumer Compliance Protection

Bates Service

Virtual Assets & Cryptocurrency

Bates Service

Property and Casualty Insurance

Bates Service

Life Insurance Products

Bates Service

Annuities

Bates Service

Insurance - Regulatory

Bates Service

Employment Dispute Litigation

Bates Service

Profit and Loss (P/L) Reports, Damages, and Other Quantitative Analyses

Bates Service

Consulting and Expert Testimony

Bates Service

Retail Securities Litigation Consulting & Testimony

Bates Service

Advertising and New SEC Marketing Rule Implementation

Bates Service

Market Manipulation

Bates Service

Business Interruption Litigation Support

Bates Service

Compliance Manual and Code of Ethics Creation and Maintenance

Bates Service

As-Needed Compliance and Regulatory Consulting

Bates Service

Internal Controls Review

Bates Service

Guidance on Acquiring/Merging of Existing RIAs

Bates Service

State to SEC Transition Filing

Bates Service

Business Continuity and Succession Planning

Bates Service

Compliance Outsourcing Services

Bates Service

Independent Compliance Consultant Services

Bates Service

Merge or Acquire an Existing IA Firm

Bates Service

Registration Lifecycle Service

Bates Service

SEC Regulation Best Interest and Form CRS

Bates Service

Bates Investor Risk Assessment

Bates Service

Arbitrator Evaluator™

Bates Service

Valuation, Fiduciary and Related Services

Bates Service

Anti-Money Laundering (AML) Program

Bates Service

FINRA and SEC Expert Witness Testimony

Bates Service

Big Data

Bates Service

Cybersecurity

Bates Service

Registered Investment Adviser Services

Bates Service

Broker-Dealer Services

Bates Service

Actuarial Services

Bates Service

Valuation Services

Bates Service

Asset Tracing

Bates Service

Economic and Other Damages

Bates Service

Complex Data Analyses

Bates Service

Litigation Assessment

Bates Service

Internal Investigations

Bates Service

US & Global Regulatory Investigations

Bates Service

Institutional Litigation & Consulting

Bates Service

Early Case Assessment

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…

News - November 17 2020

Upcoming ABA CLE Webinar: Exploitation of Senior and Vulnerable Investors in the COVID-19 Era and Regulatory Responses

ABA CLE Event: Explore the dangers for seniors & vulnerable investors in the COVID19 era, and the response of regulators. Panel includes…

News - November 12 2020

SEC and FINRA Offer Observations to Improve Compliance with Reg BI and Form CRS

On October 26, 2020, the SEC and FINRA staff held a remote public roundtable to discuss the implementation of Reg BI and…

White Paper

Bates Compliance Roundtable: Highlights from Bates’ Zoom Call on Business Continuity Planning

News - November 05 2020

FINRA Proposes Senior Rule Amendments to Extend Hold Period on Senior Accounts and Permit Holds on Transactions in Securities

Based on feedback from a retrospective rule review initiated in August 2019, FINRA proposed rule amendments intended to strengthen the ability of member…

News - October 29 2020

Bates Expert Interview:  Reflections on the Impact of COVID-19 on the Fixed Income Market

We asked Bates Group experts and consultants with deep experience in fixed income and municipal securities to share some perspective on how…

News - October 28 2020

Bates Compliance-SIFMA Webinar Highlighted by WealthManagement

A recent article from WealthManagement.com highlights comments made at the Bates Compliance-SIFMA webinar on virtual branch office visits, held October 5, 2020. This…

News - October 26 2020

This Week in Reg BI: SEC-FINRA Roundtable and Bates Compliance-Global Relay Webinar “REG BI - 120 Days On”

Today, October 26, 2020, the SEC and FINRA staff will hold a remote public roundtable to discuss their observations on the implementation…

News - October 22 2020

SEC Chair and Director of Enforcement Review the Record

In a likely preview of the SEC Division of Enforcement 2020 Annual Report, SEC Chair Jay Clayton and Division of Enforcement Director…

News - October 21 2020

Upcoming Webinar: REG BI - 120 Days On

Reg BI came into effect on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts Donald McElligott, Hank Sanchez…

News - October 14 2020

Bates is a Proud Gold Sponsor of the 2020 NSCP National Conference

Bates is a proud Gold sponsor of the 2020 NSCP National Conference, October 19-21, 2020. Bates Compliance Manging Director and NSCP Board…

News - October 14 2020

CxO Friday Insurance Industry Roundtable - Webcast with Sheila Murphy October 16, 2020

Bates Group expert and consultant Sheila Murphy will be appearing Friday, October 16, 2020 on the Insurance Industry CxO Roundtable webcast. Sponsored…

News - October 13 2020

Important Takeaways from SIFMA-Bates Virtual Branch Office Compliance Visits Webinar

On Monday, October 5, 2020, nearly 700 Compliance, Supervision, Risk, Legal and Regulatory experts and professionals tuned in to a panel discussion…

News - September 24 2020

Announcing Our Newest Experts

Bates Group is proud to welcome our newest experts and consultants: 

• Gary Ferrari - AML, Financial Crimes, Global Compliance Risk Management
• Barbara…

News - September 21 2020

FINRA Enforcement Turns Up Heat on Mutual Fund Direct Business and Firms That Are Brokers of Record

FINRA Enforcement has recently initiated enforcement actions concerning mutual funds and brokers of record centering around client impact, remediation, and other issues. Read…

News - September 18 2020

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office…

News - September 18 2020

OCIE Warns Against Emerging Cyber Threat of “Credential Stuffing”

On September 15, 2020, the Office of Compliance Inspections and Examinations (“OCIE”) issued an alert urging investment advisers and broker-dealers to review…

News - September 17 2020

FinCen Focus: Customer Due Diligence with Banking Agencies, SARs Warnings and BSA Enforcement

Just a few weeks ago, Bates highlighted a series of Financial Crimes Enforcement Network (FinCEN) compliance communications. Since then, FinCEN, along with other…

News - September 16 2020

Visit Bates Group’s Interactive Booth at the SIFMA C&L Virtual Forum - September 23-24, 2020

Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Stop by our virtual exhibit booth to…

News - September 14 2020

CLE Webcast - PLI Pocket MBA for Lawyers and Other Finance Professionals

Join A. Christine Davis, Bates Managing Director of Forensic Accounting and PLI program co-chair, and Edward Longridge, Managing Director of Bates AML & Financial Crimes, at the  PLI Pocket…

News - September 11 2020

CEO Message: 9/11 National Day of Remembrance

Today marks 19 years since the tragic and devastating events of 9/11. Read the message from Bates Group CEO Jennifer Stout

News - September 10 2020

NASAA Rounds Out Busy Summer with Active Policy and Enforcement Agenda

The North American Securities Administrators Association (“NASAA”) continues to assert its member states’ interests in fighting for and protecting investors and consumers…

News - September 03 2020

Bates Group Summer Roundup – Catch Up on What You’ve Missed and What’s Coming Up This Fall

Labor Day is almost here, which means those lazy, remote days of summer are coming to a close. What did you miss when…

News - August 31 2020

SEC Amends Definition of “Accredited Investor”

In an effort to broaden investment opportunities in private funds, the SEC expanded the definition of “accredited investor” to include a host…