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News & Webpages
News - September 04 2019
Bates Expands Financial Crimes Roster with Managing Director Dennis Greenberg
Bates Group welcomes Dennis Greenberg as the new Managing Director of Business Development for Bates AML and Financial Crimes.
News - August 16 2019
Expert Spotlight: Greg Kyle Quoted by CBS News
Bates Group director and expert Greg Kyle was recently interviewed by CBS News for their MoneyWatch feature.
News - August 15 2019
NASAA Roundup: Crypto Crackdown, Reg BI, New Warnings on Complex Products
The past few months have been a particularly busy time for state financial regulators and enforcement officials. At almost every turn, the…
News - August 14 2019
Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles
Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA…
News - August 09 2019
Introducing Bates Group’s Managed Document Review Services
Bates Group’s new Managed Document Review services enable organizations to leverage the advantages of highly experienced review specialists and technology-enabled e-discovery review…
News - August 08 2019
Variable Annuities Regulatory Update: Will NY’s Reg. 187 Victory Impact SEC, NAIC Proposals?
Last week, the New York Supreme Court upheld the “Suitability and Best Interest in Life Insurance and Annuity Transactions” regulation (a/k/a Regulation 187)…
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News - August 01 2019
Cannabis: Federal and State Efforts Picking up Steam
The growing global cannabis market is estimated to reach $66.3 billion by 2025, up from $13.8 billion in 2018. That kind of…
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News - July 29 2019
OCIE Examines Investment Adviser Oversight of Supervised Persons with Disciplinary History
The SEC Office of Compliance, Inspections and Examinations (OCIE) issued a Risk Alert to address compliance and disclosure issues raised in examinations…
News - July 25 2019
FinCEN Updates Advisory on Business Email Fraud: Billions Thought to Have Been Stolen
After analyzing data collected in Suspicious Activity Reports, FinCEN issued an update to a 2016 Advisory alerting financial institutions on how best…
News - July 24 2019
Bates Group Welcomes New Director of People and Culture Josephine Vu
Josephine Vu is Bates Group's new Director of People and Culture.
News - July 23 2019
A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019
A. Christine Davis, Bates Group's Director of Forensic Accounting and Financial Crimes, is on the faculty of Practising Law Institute's CLE program…
News - July 19 2019
Is the Increase in Option-Related Cases Affecting Your Firm and Clients?
Bates Group is alerting counsel that we are seeing an uptick in option-related cases where firms offered their clients strategies to increase…
News - July 18 2019
SEC Chair Responds to Seven Criticisms of Regulation Best Interest
On June 25th, the U.S. House of Representatives weighed in and voted for an amendment to a bill with the intent of…
News - July 16 2019
Regulation Best Interest Now Published in Federal Register: What Does This Mean for Your Firm?
The formal publication by the Federal Register on July 12, 2019, of Regulation Best Interest triggers final effective and compliance dates for the rulemaking…
News - July 09 2019
Join Bates Group at the SIFMA Regulation Best Interest Seminar
Bates Group is a proud sponsor of the SIFMA Regulation Best Interest Seminar on Wednesday, July 10 in Washington, D.C. Speakers will address…
News - June 27 2019
AML Legislative Update: Seeking Transparency, House and Senate Propose Beneficial Ownership Database
This month, a bipartisan group of Senate Banking Committee members introduced legislation to address current gaps inhibiting the fight against illicit financing…
News - June 20 2019
Massachusetts Proposes State Fiduciary Rule; Trade Groups Ask New Jersey to Pause its Process
The SEC's recent adoption of Reg BI has not stopped the states from pursuing their own higher standards. Last week, Massachusetts became…
News - June 13 2019
SEC Adopts Regulation Best Interest: Early Reaction and its Impact
On the day the SEC approved a set of regulatory proposals affecting the obligations that broker-dealers and investment advisers owe retail investors,…
News - June 06 2019
Cryptocurrencies Regulatory Update: FinCEN Guidance, SEC and Commissioner Commentary
The state of play in cryptocurrency regulation continues to reflect legitimate tensions between promoting innovation and entrepreneurship and maintaining sound markets and investor protection. In…
News - June 05 2019
SEC Adopts Regulation Best Interest
By a 3-to-1 margin, the SEC voted to approve its long-debated Regulation Best Interest at an open meeting today. Also approved was…
News - May 30 2019
NASAA Members Adopt Investment Adviser Information Security Model Rule Package
As Bates reported last October, the North American Securities Administrators Association (NASAA) proposed a new model rule for consideration by state regulators…
News - May 23 2019
SEC Office of the Investor Advocate Releases New Report on Efforts to Protect Seniors
The SEC Office of Investor Advocate (OIA) has prepared a valuable overview report on the SEC’s efforts to protect seniors from financial exploitation.…
News - May 16 2019
FINRA on AML, Departing Registered Representatives, New Proposed Rules for Firm Misconduct
Over the last month, FINRA issued guidance on anti-money laundering compliance and customer communications concerning departing registered representatives. FINRA also proposed a…
News - May 13 2019
FINRA Issues Guidance on Anti-Money Laundering Compliance Obligations
In a new Regulatory Notice, FINRA provided guidance on reporting and monitoring suspicious activities under a member firm’s anti-money laundering (“AML”) compliance…
News - May 09 2019
Safeguarding Client Information: OCIE Wants Firms to Increase Efforts
Continuing in its efforts to prioritize the protection of retail investors, the SEC’s Office of Compliance Inspections and Examination (OCIE) has issued…
News - May 02 2019
SEC Enforcement Investigating Firms That Did Not Self-Report
The SEC's Enforcement Division has now initiated investigations against firms that did not self-report by the deadline of the SEC’s Share Class…
News - May 02 2019
New Jersey Makes Its Move, Proposes Financial Services Fiduciary Standard
On April 15th, the New Jersey State Bureau of Securities proposed applying uniform fiduciary standards to broker-dealers and investment advisers. Promoted by…