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News & Webpages
News - January 16 2020
OCIE to Prioritize Reg BI Compliance in 2020 Examinations
The SEC Office of Compliance Inspections and Examinations ("OCIE") set out their 2020 examinations priorities in an annual report issued last week.…
News - January 15 2020
Bates Expert William Jannace Quoted in Investment News Article
Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News. The article discusses FINRA's interest in…
News - January 10 2020
Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum
Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16,…
News - January 10 2020
FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter
FINRA has announced their regulatory and examination priorities for the upcoming year. New for this year is a focus on Regulation Best…
News - January 09 2020
Massachusetts State Fiduciary Rule and NAIC Annuity Standards Proposals Continue to Move Forward
Bates Group continues to track a host of issues affected by the adoption of Regulation Best Interest (“Reg BI”), the 2019 package…
News - January 07 2020
SEC Office of Compliance Inspections and Examinations Announces their 2020 Examination Priorities
The SEC's Office of Compliance Inspections and Examinations has announced their exam priorities for the upcoming year. Stay tuned to the Bates News page…
News - January 06 2020
Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.
Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston,…
News - December 19 2019
Reg BI Countdown – Is Your Firm Ready?
Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg…
News - December 17 2019
Bates Compliance at the FINRA 2019 Regulation Best Interest Conference
Meet Bates Compliance Leaders Bob Lavigne and Jill Ehret at the FINRA 2019 Regulation Best Interest Conference, December 18, 2019 in Washington, D.C.
News - December 12 2019
Banking Agencies Clarify SARs Requirements for Hemp, Possibly Paving the Way for Cannabis
A key to understanding new BSA guidance on the “legal status of commercial growth and production of hemp” can be found in provisions…
News - December 05 2019
Do The SEC Enforcement Directors’ 2019 Successes Preview Their 2020 Priorities?
Despite “significant headwinds,” including “adverse” holdings in Supreme Court cases and a significant disruption in Congressional funding in the beginning of the…
News - November 21 2019
SEC Zeroes in on Investment Adviser Compensation Conflicts
On October 18th, 2019, more than a year after the launch of the SEC Share Class Disclosure Initiative and targeted enforcement activity,…
News - November 15 2019
Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along
FINRA has announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Learn…
News - November 12 2019
Bates Welcomes Our Newest Experts and Consultants
Bates Group is proud to introduce our newest experts and consultants: Gontran de Quillacq, Caryn Miller, Michael Dorsey, Amy Ott, Mark Filler, Tali Taft, Paul…
News - November 11 2019
Bates Group Leaders and Experts will be appearing at several industry events around the country this week.
News - November 07 2019
Bates Managing Director Hank Sanchez Quoted in The Wall Street Journal
Bates Managing Director and Expert Consultant Hank Sanchez is quoted in a new article from The Wall Street Journal.
News - November 07 2019
SEC Proposes Changes to Investment Adviser Advertising and Solicitation Rules
The SEC is seeking comment on a newly issued proposal to amend two rules on investment adviser advertising and solicitor compensation.
News - October 31 2019
FINRA Issues 2019 Report On Exam Findings
FINRA issued its annual Report on Examination Findings and Observations on October 16, 2019. Like last year’s Report, the 2019 version highlights…
News - October 25 2019
New Federal Legislation Progressing on BSA, Beneficial Ownership and Cannabis Financing
On September 26, a bipartisan group of Senators introduced a bill to strengthen the authority of the Financial Crimes Enforcement Network (FinCEN)…
News - October 23 2019
Digital Assets - Financial Agencies Remind Firms of AML Compliance Obligations
On October 11, 2019, the heads of FinCEN, the SEC and CFTC issued a joint statement to remind financial institutions of their Bank Secrecy…
News - October 18 2019
Bates Compliance’s Reg BI Countdown Kick-Off Begins!
To support your Reg BI implementation efforts, Bates Compliance is rolling our Reg BI Countdown with action items to keep your compliance…
News - October 10 2019
FinCEN Leaders Highlight Innovation, Identity Information and “Culture” as Keys to AML Approach
In two speeches delivered in September 2019, leaders of the Financial Crimes Enforcement Network (FinCEN) laid out their thinking behind the agency’s…
News - October 03 2019
SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation
The SEC Enforcement Division is continuing to concentrate on firms that did not self-report by the deadline of the SEC’s Share Class…
News - October 01 2019
Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference
Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at…
News - September 27 2019
Bates Managing Director Robert Lavigne Quoted in Investment News Article
Bates Compliance Managing Director Robert Lavigne is quoted in a new article from Investment News.
News - September 26 2019
NASAA Enforcement Report Shows Increased Investment Adviser Actions, Focus on Crypto, Senior Fraud
In its 2019 annual enforcement report, the North American Securities Administrators Association ("NASAA") highlighted statistics from its 2018 state enforcement activities. The…
News - September 23 2019
Bates Welcomes Our Newest Experts and Consultants
Bates is proud to introduce our newest experts and consultants: Donna Bartlett, Frank Giorgio, Richard Rogoff and William Webb.
News - September 23 2019
OCIE Issues Risk Alert on Principal Trading and Cross Transaction Compliance Obligations
The SEC Office of Compliance, Inspections and Examinations (OCIE) issued a Risk Alert to remind investment advisers of their compliance obligations for…
News - September 19 2019
FINRA Requests Feedback on Senior Financial Protection Rules
In a new Regulatory Notice, FINRA is asking its members a series of questions about the utility of rules and processes to…
News - September 12 2019
States Sue SEC in Latest Challenge to Reg BI
The SEC’s adoption of the Regulation Best Interest (“Reg BI”) package in June was a defining moment in the long-running debate over…
News - September 05 2019
Bates Managing Director Hank Sanchez Publishes New Reg BI Article in NSCP Currents
Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and…