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News & Webpages
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…
News - April 25 2019
Federal Legislators Target Mandatory Arbitration
Longstanding opposition to mandatory arbitration is finding renewed momentum as federal legislators introduce bills to limit or even eliminate the binding provisions…
News - April 17 2019
Bates Welcomes Our Newest Experts and Consultants
Bates is proud to introduce four new experts and consultants: Jennifer Bergenfeld, Pamela O’Neill, Matthew Sekerke and Phil Swatzell.
News - April 17 2019
Bates Group President Ben Pappas Honored as a 2019 “Forty Under 40” by Portland Business Journal
Bates Group congratulates President Benjamin Pappas on his recognition as a 2019 "Forty Under 40" business leader by the Portland Business Journal.
News - April 11 2019
FINRA Is Scrutinizing UTMA/UGMA Accounts
In June 2018, Bates Group published an article reporting on deficiencies identified by FINRA in its exam findings which may trigger further…
News - April 05 2019
Spotlight: Q&A with R. Gerald (“Jerry”) Baker, Bates Group Senior Compliance Consultant
Bates Research interviews our most senior experts to get their perspective on the latest regulatory and compliance concerns affecting clients today. We…
News - April 04 2019
U.S. House Moves to Address AML/BSA Framework
On March 13, 2019, the U.S. House of Representatives adopted a resolution, sponsored by House Financial Services Committee (HSFC) Chair Maxine Waters,…
News - April 02 2019
Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop
Bates Group Director Joseph “Joe” Thomas, Senior Investor Expert, will be speaking at the SIFMA Senior Investor Protection Workshop, April 3rd at…
News - March 28 2019
NASAA Update: Legislative Agenda, President Provides Testimony on Regulation Best Interest
The North American Securities Administrators Association (NASAA) has been in the public eye this month as state regulators (i) issued a set…
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News - March 14 2019
Justice Department Coordinates Largest Ever Elder Fraud Sweep:
260 Global Defendants said to have Targeted 2 Million Americans, Mostly Elder
On March 7th, federal and state enforcement agencies announced they…
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