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News & Webpages
News - August 29 2024
Alert: Treasury Department’s Final AML Rule for Investment Advisers
The Treasury Department's final anti-money laundering (AML) rule for investment advisers mandates risk-based AML programs for most SEC-registered advisers. While some industry concerns…
News - August 28 2024
Know Your Customer (KYC) & Know Your Business (KYB): Best Practices for MSBs
Join us for an insightful live talk on industry-leading best practices for customer identification compliance. Our expert panel will discuss practical guidance…
News - August 19 2024
A Very Active CFPB: Paycheck Advance Loans
The CFPB has proposed an interpretive rule classifying paycheck advance loans under TILA, which could require APR disclosures for these rapidly growing products. Financial…
News - August 14 2024
New Data Insights on U-5 Defamation Cases
Understanding the true impact of U-5 commentary on employment prospects is critical for both advisors and firms. Our latest analysis of FINRA…
News - August 13 2024
In-Person Event: ACFCS Charlotte Fincrime Summit
Join Bates Group at the ACFCS Charlotte Fincrime Summit on September 4, 2024. Explore the latest trends and regulatory issues affecting the financial crimes…
News - August 07 2024
Mastering The Remittance Transfer Rule: Subpart B of Reg E
Join industry experts from Bates Group, Alviere, Adam Atlas Attorneys at Law, and McCarthyHatch, who will share their knowledge and experience to…
News - July 18 2024
Meet Us in Nashville at Bitcoin 2024
Attending the Bitcoin 2024 conference in Nashville? Connect with Bates FinTech Compliance Director Jason Fitch.
News - July 17 2024
Two Ways a Risk Assessment Can Benefit Your AML/CFT Program
Under FinCEN’s proposed rule to strengthen and modernize AML/CFT programs, a risk assessment is a critical element of sound and effective AML/CFT programs. Learn…
News - July 09 2024
Virtual Program: Ensuring Quality Assurance of Your AML Programs
Elevate your AML program's effectiveness at the Fraud Fighters Virtual Summit on Wednesday, July 17th. Brandi Reynolds is speaking on the panel…
News - July 03 2024
Common Examination Criticisms of the BSA Compliance Officer
BSA examiners hold institutions dealing with Fintechs to a higher standard. Bates Group explores how examiner criticisms regarding the BSA Officer…
News - June 25 2024
Webinar: Managing the State Exam Process
This new compliance webinar features industry experts from Bates Group, eToro, Alviere, and Pillsbury Winthrop Shaw Pittman LLP, who will provide you with valuable…
News - June 20 2024
Tips for Effective and Efficient Exam Remediation Efforts
Once a regulatory exam is over, it’s time to roll up your sleeves and focus on remediation. Learn how sound risk management…
News - June 12 2024
The Importance of SBOM Compliance in Financial Services
The Software Bill of Materials (SBOM) can be an action-oriented and powerful tool to help you maintain the security, transparency,…
News - June 07 2024
Court Vacates SEC Regulations for Private Fund Advisers
The Fifth Circuit Court of Appeals has issued a ruling vacating the SEC's previously adopted rule package for private fund advisers.
News - May 29 2024
SEC Finalizes its Data Privacy (Reg S-P) Rule: What you need to know
The SEC has voted to finalize its proposed amendments to rules governing the protection of clients’ non-public personal information (PII). What are the important…
News - May 28 2024
Community Banks and BaaS: New Guidance on Managing Risks
New guidance from regulators highlights the importance of strong Third-Party Risk Management (TPRM) for community banks offering Banking-as-a-Service (BaaS). The article…
News - May 22 2024
Common Examination Criticisms with Data and Technology Systems
Recent reports indicate a rise in Bank Secrecy Act (BSA) enforcement actions. However, consent orders focus on data & tech across compliance areas…
News - May 15 2024
Investment Adviser Alert: SEC and FinCEN Propose New AML/CFT Requirements
On May 13, The SEC and FinCEN jointly proposed a new rule requiring certain advisors to implement Customer Identification Programs (CIPs). This…
News - May 15 2024
Webinar: Anti-Money Laundering Rules and Alerts—Testing, Tuning, and Best Practices
Discover strategies for optimizing AML rule sets and enhancing alert efficiency during this live webinar featuring industry leaders from Bates Group, Gusto, Ava Labs,…
News - May 14 2024
Meet Bates Group Leaders at the 2024 FINRA Annual Conference
Join Bates Group leaders and experts at the 2024 FINRA Annual Conference, May 14-16 in Washington, D.C., and get solutions for your ongoing compliance, regulatory…
News - May 05 2024
Join Bates Group at the 2024 IPA Innovative Payments Conference, May 5-7 in Washington, D.C.
Join Bates at the 2024 IPA Innovative Payments Conference, May 5-7 at the Grand Hyatt in Washington, D.C.
News - May 02 2024
DOL Announces Release of Final Fiduciary Rule
The U.S. Department of Labor has announced the finalization of the Retirement Security Rule, updating the definition of an "investment advice fiduciary."
News - May 01 2024
Managing the Privacy Function in a Financial Institution
In a financial institution dedicated to Privacy compliance, the Privacy Officer does much more than manage the Privacy Policy and oversee the…
News - April 30 2024
ACAMS Webinar April 30th - AFC in Practice: Law Enforcement Engagement with the Crypto Industry
Bates Group Managing Director Brandi Reynolds will appear on the panel in a new webinar from ACAMS on April 30, 2024. This AFC…
News - April 18 2024
Bates Sponsors 2024 FSDA Industry Outreach Program April 18
Bates Group is a proud Platinum Sponsor of the FSDA Industry Outreach Program "2024: Getting Back on Track," April 18, 2024 at…
News - April 18 2024
Join Hank Sanchez at the NSCP Interactive Compliance Labs - April 18th in Long Beach, CA
Join Bates Compliance Managing Director Hank Sanchez at the NSCP Interactive Compliance Labs, April 18th, 2024 on location at California Sate University,…
News - April 17 2024
Avoiding Technology, Data, and Staffing Disconnects when Banking Fintechs
With the increase in the number of financial institutions that are banking Fintechs, there has been a corresponding increase in regulatory scrutiny over this…
News - April 17 2024
Managing Director Chris Riper to Speak at FMA’s 2024 Securities Compliance Seminar April 17-19
Bates Group Managing Director Christopher Riper will be speaking on the “Continuing Challenges with Off-Channel Communications” panel at FMA's 2024 Securities Compliance Seminar in Chicago…
News - April 11 2024
Economic and Capital Markets Analysis: 2023 Year in Review U.S. Chartbook
Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2023. From Bates Group Director Greg Kyle and CEO…
News - April 08 2024
Join Brandi Reynolds at ACAMS Assembly Hollywood - April 8-10, 2024
Bates Compliance leader Brandi Reynolds will be attending ACAMS Assembly Hollywood, April 8-10 in Hollywood, FL.
News - April 04 2024
Bates Group practice leaders Alex Russell and Rhonda Davis are featured as speakers at the SIFMA 2024 Chief Risk Officers' Roundtable, April 4-5 in…