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News & Webpages
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…
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)…
White Paper
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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Webpage
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…