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News - June 20 2023

Webinar - Managing Risk: What Your Banks Want You to Know

Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want…

News - June 16 2023

Investment Adviser New Marketing Rule Examinations Focus on Additional Areas

SEC Exams Division staff issued a new risk alert on June 8, 2023, noting they will be reviewing additional Marketing Rule areas of…

News - June 15 2023

Preventing Elder Financial Exploitation: Solutions to a Growing Threat

Elder abuse is a devastating problem that affects millions of seniors every year. In its 2022 Elder Fraud Report, the FBI’s Internet Crime…

News - June 14 2023

NYCLA Live CLE Webinar: How To Handle a Securities Regulatory Investigation - Wednesday, June 14, 2023

How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join…

News - June 14 2023

Join Bates at the SIFMA C&L Regional St. Louis, June 14, 2023

Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis,…

News - June 06 2023

Bates Compliance’s Rhonda Davis to speak on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in NYC

Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New…

News - May 24 2023

Bates Group’s John Ashley to Speak on “Banking Digital Currency” Webinar, Hosted by the American Bankers Association, May 24, 2023

Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by…

News - May 24 2023

Brandi Reynolds to Speak at the 2023 1CryptoWorld Virtual Conference - May 24, 2023

Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto…

News - May 16 2023

Meet Bates Leaders at the 2023 FINRA Annual Conference

Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in…

News - May 12 2023

The Compliance Risk of Artificial Intelligence

AI and algorithms have wide usage but bring unique risks to organizations, including compliance risks due to potential bias, discrimination, and data…

News - May 10 2023

Bates Managing Consultant Lindsey Dean to speak at the May 10th CA Department of Financial Protection Enforcement Division Conference

Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division…

News - May 07 2023

Bates Sponsors IBDC-RIAC Risk Management Conference May 7-10, 2023 - Ira D. Hammerman Speaking

Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our…

News - May 05 2023

SEC Bulletin Offers Staff’s Views on Standards of Conduct for Investment Advisers and Broker-Dealers When Addressing Care Obligations: What You Need to Know

In a recent Staff Bulletin, SEC staff clarified care obligations for broker-dealers and investment advisers towards retail clients. Both the Reg BI…

News - May 04 2023

MTMA Provides Uniform Framework for Licensing and Regulation of Money Transmitters

The Money Transmission Modernization Act (MTMA) was created to modernize the money transmission industry by allowing for comprehensive standards and requirements that…

News - May 03 2023

Join Bates at SIFMA’s 2023 Private Client Conference - May 3-5

Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale,…

News - May 02 2023

Bates Sponsors SWIFS Spring Symposium May 2, 2023

Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg,…

News - April 27 2023

Special Report - FINRA and SEC Increase Scrutiny of Market Manipulation: Old Concerns, New Priorities

FINRA and the SEC are increasingly focused on manipulative trading practices, such as wash sales and front running, due to an uptick…

News - April 26 2023

Meet Bates AML & Compliance Crypto Leaders at Consensus 2023 - April 26-28 in Austin, TX

Meet Bates Group crypto leaders Brandi Reynolds and John Ashley at CoinDesk's Consensus 2023 conference, April 26-28, 2023 in Austin, TX.

News - April 26 2023

Bates Group Appoints Benjamin R. Pappas as CEO

Bates is proud to announce the appointment of Benjamin R. Pappas as Chief Executive Officer, effective immediately. Previously, Pappas was Bates Group’s President,…

News - April 21 2023

Bates Sponsors the 2023 FSDA Industry Outreach Program - April 21, 2023

Bates is a proud Diamond Sponsor of the FSDA Industry Outreach Program "2023: Unmasking Market Opportunities." April 21, 2023 at the Boca Raton…

News - April 19 2023

Crypto Webinar April 19 - The Convergence of Crypto and TradFi Compliance & Regulation

Join Bates Group Managing Consultant John Ashley along with experts from Alloy and Chainalysis on this new webinar as they discuss regulatory compliance…

News - April 18 2023

OFAC Modernizes Website, Making It Easier to Search Database and Remain Compliant

OFAC has recently made updates to its website designed to make it easier for users to find guidance on specific industries, use…

News - April 18 2023

Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez to Speak at NSCP Interactive Compliance Lab - April 18, 2023

Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez will be speaking on panels at the NSCP Interactive Compliance Lab - April…

News - April 11 2023

Meet the Newest Bates Testifying and Consulting Experts

Bates Group welcomes our newest consulting and testifying experts:

Nicholas Bowman, CFP®, CEP®, MSPFP

James A. Kamradt

Bridget McNamara-Fenesy, JD

David M.…