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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…

News - July 21 2020

Upcoming CLE Webinar 7/30: Anti-Money Laundering and Fraud Risks In the Age of COVID-19

The COVID-19 pandemic has created new compliance and regulatory risks for financial institutions. New avenues for money laundering have sprung up, presenting…

News - July 16 2020

New OCIE, FinCEN Alerts Emphasize Vigilance Against Ransomware, Imposter Scams, Money Mule Schemes

In the past week, the SEC Office of Compliance Inspections and Examinations (OCIE) and the Financial Crimes Enforcement Network (FinCEN) warned financial…

News - July 15 2020

Virtual Event: NSCP 2020 Midwest Regulatory Interchange

The NSCP 2020 Midwest Regulatory Interchange with the SEC, DOL and FINRA is taking place on July 24, 2020. Bates Compliance Managing…

News - July 13 2020

Compliance Roundtable 7/15: Assessing, Fine-Tuning and Improving Your Business Continuity Plan

Join this virtual Compliance Roundtable on Wednesday, July 15, 2020, where our industry experts and guests will address Business Continuity Plan (BCP)…

News - July 02 2020

SEC Issues “Private Funds Adviser” Compliance Risk Alert

Investment advisers that manage private equity or hedge funds (“private funds advisers”) should review and enhance their compliance procedures to protect investors…

News - June 30 2020

SEC Approves FINRA Amendments on Suitability and Non-Cash Compensation Rules

The SEC has approved final FINRA amendments to its rules on suitability and non-cash compensation. The final amendments ensure that FINRA’s rules…

News - June 26 2020

Bates Practice Leadership Insights: Regulatory Investigations Now and on the Horizon

Bates continues our practice leadership conversations this week with Alex Russell, Managing Director of Bates’ White Collar, Regulatory and Internal Investigations Practice.…

News - June 18 2020

FINRA Special Alert Offers Observations on COVID-19 Remote Work and Supervisory Practices

FINRA issued Special Alert Notice 20-16 to share COVID-19-related off-site transition and supervisory practice information. The information was derived from recent FINRA…

News - June 15 2020

Bates Media Mentions: Bob Lavigne and Hank Sanchez Quoted in Investment News and AdvisorHub articles

Robert Lavigne and Hank Sanchez are both quoted in the Investment News cover article, “The Sound of Silence,” concerning Reg BI and Form…

News - June 11 2020

NASAA Annual Report Flags Cyber Risk, Investment Adviser Exam Deficiencies and Best Practices

In its recently-released 2020 Investment Advisor Section Annual Report, NASAA highlights the growing concern by state regulators over cybersecurity preparation and practice. Based…

News - June 10 2020

CLE Webinar: Reg BI for Litigators - The New Game Changer

Join Bates Group Director and nationally recognized expert Bruce Cramer when he presents “Reg BI for Litigators.” Topics will include an overview…

News - June 09 2020

Bates Practice Leadership Insights: What AML Officers are Thinking About Now

Bates continues our practice leadership conversations this week with Edward Longridge, Managing Director of Bates Anti-Money Laundering and Financial Crimes Practice, for…

News - June 05 2020

New Capital Market Insights White Paper: Bear Markets, Black Swan Events and Volatility

The first part of this year has been challenging for the equity markets. In March, the S&P 500 Index plunged into bear…

News - June 04 2020

CEO Message: Standing up to Racial Injustice

A message from Bates Group CEO Jennifer Stout

News - June 04 2020

Oil-Related ETP Recommendations: FINRA Reminds Firms of Suitability and New Reg BI Obligations

Concern about recommendations of complex financial products for retail investors has been at the center of the debate over changing standards for…

White Paper

Bear Markets, Black Swan Events and Volatility

News - June 02 2020

Introducing Bates Group’s Business Interruption Litigation Support

Bates Group’s industry-leading insurance, forensic accounting and economic damages experts stand ready to assist Insurers and agents in the many challenges they…

News - May 29 2020

CLE Webinar: Employment Claims and Potential Economic Damages – What to Expect in the “New Normal”

Join Bates Group moderator Sheila Murphy and Managing Director A. Christine Davis, along with three accomplished employment lawyers as they explore and…

News - May 28 2020

Reg BI & Form CRS Countdown: One Month to Go - Exams to Start July 1, 2020

The June 30th, 2020 implementation date for SEC Regulation Best Interest and the corresponding Customer Relationship Summary (Form CRS) is only one…

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Recorded Programs

News - May 21 2020

NASAA Seeks to Disrupt Fraud, Moves to Online Exams; FINRA Warns of Pandemic Scams

State and federal regulators are pressing firms to increase vigilance against crisis-related misconduct and other vulnerabilities in order to protect investors. The…

News - May 20 2020

Bates Practice Leadership Insights: What Compliance Officers are Thinking About Now

In this first of a series of conversations with Bates Group practice leaders, we caught up with Robert Lavigne, Managing Director and Bates Compliance Practice…

News - May 14 2020

AML Compliance Report: FinCEN Says Hold the Line, FFIEC Updates Exam Manual

At a time when regulators are emphasizing their understanding of, and flexibility concerning, the difficulties facing financial firms as a result of…

News - May 11 2020

Welcome Our New Bates Experts

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

Kathy D. Ireland – ERISA, Investment Advisers Act, Codes of Ethics

News - May 08 2020

CLE Webinar: Senior and Vulnerable Investor Protection and Potential Claims in the COVID-19 World

Join our panel of nationally recognized leaders for a conversation about what vulnerable and senior financial investor issues and litigation claims may…

News - May 08 2020

Webinar: Preserving and Growing your IBD/RIA Business in the Time of COVID-19

Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists including…

News - April 30 2020

FINRA Carries On: Focuses on High-Risk Brokers, Broker Beneficiaries, Arb Postponement & Reg BI

While the COVID-19 pandemic continues to create unusual and difficult challenges for the financial service industry, FINRA continues to move forward with…

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A Message of Health, Gratitude and Hope

News - April 28 2020

This Week at Bates: Countdown to Form CRS for IAs Webinar

The countdown is on! Join our complimentary Form CRS for IAs webinar Thursday, April 30, 2020. Specifically designed for SEC-registered IAs, this…