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News & Webpages
News - November 17 2020
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
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
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
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…
News - August 26 2020
Canadian Institute of Actuaries Workshop: Filing a Business Interruption Claim
A. Christine Davis, Managing Director - Forensic Accounting and Economic Damages, will be presenting the program “Filing a Business Interruption Claim: Properly…
News - August 20 2020
New FinCen Guidance on the CDD Rule, Cyber Fraud and Virtual Currency Scams Exploiting Twitter
Over the past several weeks, the Financial Crimes Enforcement Network (FinCEN) has issued new guidance on customer due diligence requirements, an advisory…
News - August 20 2020
Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns
Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this…
News - August 17 2020
SEC Issues COVID-19 Compliance Observations and Recommendations for BDs and IAs
On August 12, 2020 the SEC Office of Compliance Inspections and Examinations (OCIE) staff alerted broker-dealers and investment advisers to additional COVID-19…
News - August 06 2020
FINRA Roundup: Guidance on Private Placements, Digital Assets, Virtual Hearings, and Proposals
Since our last regulatory update on the adoption of FINRA’s proposal to align its suitability and non-cash compensation rules with Regulation Best…
News - August 05 2020
8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact
Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020, “Capital Market Uncertainty in the Time of COVID-19 and the Potential…
News - July 30 2020
DOL Proposes New Class Exemption for Investment Advisers
More than two years after the Fifth Circuit Court of Appeals vacated the Department of Labor’s fiduciary duty rule, the agency proposed…
News - July 24 2020
Welcome to Our New Bates Experts
Bates Group is proud to welcome our newest experts and consultants:
Amy Bard, Esq.- Sales Practice Litigation, Compliance, Senior Investors
Paula…
News - July 22 2020
Bates Practice Leadership Insights: Julie Johnstone on the Changing Litigation Landscape
As Managing Director for Bates Group's Retail Litigation practice, Julie Johnstone manages and oversees financial litigation and arbitration matters. Her team assists…