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News & Webpages
News - April 02 2024
SEC Adopts Internet Adviser Exemption Rule Changes
The SEC has announced its adoption of amendments to the internet adviser exemption governing SEC registration eligibility for certain internet investment advisers. Any adviser no…
News - March 22 2024
FINRA’s 2024 Regulatory Oversight Report: Bates Annual Comparison Chart
News - March 18 2024
Investment Advisers Charged by the SEC for False and Misleading AI Use Claims
The SEC has issued a press release announcing settled charges against two investment advisers for making false and misleading statements about their purported use…
News - March 17 2024
Bates is a Proud Sponsor of the SIFMA 2024 C&L Annual Seminar - Booth #512
Bates is a proud sponsor of the 2024 SIFMA C&L Annual Seminar, March 17-20, 2024 in Orlando, Florida.
News - March 14 2024
AI Inventory and Risk Assessment: What a Financial Institution Risk Officer Needs to Know
For managers at financial institutions to understand AI risk, they first need to conduct a thorough inventory of…
News - March 12 2024
Bates Group, a leading provider of custom compliance support and services for RIAs, has completed the acquisition of select client engagements from D…
News - March 06 2024
Meet Bates Compliance at the 2024 IAA Investment Advisor Compliance Conference
Meet Bates Compliance leaders at the 2024 IAA Investment Advisor Compliance Conference, March 6-8, 2024 in Washington, D.C. Managing Direcctor Kurt Wachholz is…
News - March 06 2024
2023 FINRA Dispute Resolution Statistics: A Look Back
2023 was an interesting year in FINRA dispute resolution. While customer filings dipped to a near-decade low, intra-industry cases grew 50% year-over-year.…
News - March 04 2024
Bates Group Sponsors the 2024 IBDC/RIAC Annual Risk Management Conference, March 4-6 in San Diego
Bates is a proud sponsor of the 2024 IBDC/RIAC Annual Risk Management Conference, March 4-6, 2024 in San Diego, California. Bates cybersecurity expert…
News - February 29 2024
Addressing Transaction Fraud Litigation with Expert Consulting and Preventative Compliance
As a leading provider of financial consulting services, Bates Group has extensive experience defending allegations of transaction fraud on brokerage or bank…
News - February 23 2024
Attending ETH in Denver? Connect with FinTech and AML Consultant John Ashley
Attending ETH in Denver? Bates Managing Consultant John Ashley is available meet with you to discuss the top issues and concerns for the blockchain…
News - February 14 2024
FinCEN issued a NPRM on Tuesday requiring SEC-registered IAs and ERAs to apply AML/CFT requirements pursuant to the Bank Secrecy Act, including implementing risk-based…
News - February 13 2024
Meet Bates at the 2024 NMLS Conference and Training for State Licensing Support
Meet Bates Compliance Director Matt Summers at the NMLS 2024 Annual Conference & Training, February 13, 2024 – February 16, 2024 in…
News - January 31 2024
Identity Theft Week - Preventing Unauthorized Account Takeovers
This week is Identity Theft Awareness week, sponsored by the FTC. An increasingly harmful form of ID Theft is Account Takeover, which institutions…
News - January 23 2024
The Securities and Exchange Commission’s Division of Examinations publishes its examination priorities report annually to provide insights into its risk-based approach, including the areas…
News - January 19 2024
Expert Insights: The Compliance Risks of Artificial Intelligence
Bates Compliance Managing Director Brandi Reynolds offers her insights into the State of Financial Crimes 2024 report published by ComplyAdvantage. Specifically, the survey…
News - January 10 2024
FINRA Publishes 2024 Regulatory Oversight Report
FINRA has published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. Stay tuned…
News - January 04 2024
NASAA Publishes New Comment Letter on DOL Rule
NASAA has published a Comment Letter to the DOL Regarding Retirement Security Rule: Definition of an Investment Advice Fiduciary.
News - December 12 2023
Webinar December 12th: Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda
Bates Compliance Managing Director Rhonda Davis will be peaking on this insightful webinar on December 12, 2023. Sponsored by InvestorCOM
News - December 06 2023
Catch Bates Expert Rob Ayers on the Next CrossTech Virtual Roundtable - Wednesday, December 6
Bates Expert Rob Ayers will be speaking at the Decmber 6, 2024 CrossTech Virtual Roundtable (VRT) titled "FedNow's Instant Effect: Cross-Border Payment…
News - November 21 2023
Consumer Compliance Alert: CFPB Proposes New Rule Covering Digital Payment Apps
The CFPB has recently proposed a new rule to define the market for general-use digital consumer payment applications. The proposed market would cover…
News - November 15 2023
Join Bates for the Greensfelder Annual Securities Symposium in St. Louis - November 15, 2023
Join us for the Annual Greensfelder Securities Symposium November 15th. Bates Cybersecurity expert Patrick Cox will be speaking on the AI panel.
News - November 14 2023
CrossTech World 2023 - November 14-16, 2023 in Hollywood, FL
Join Bates at CrossTech World 2023, November 14-16, 2023 in Hollywood, Florida
News - November 09 2023
A Look At 2023 FINRA Arbitration Award Stats: What’s Trending, What’s Not?
With 2023 wrapping up soon, Bates takes a look at what is and is not trending in matters resolved through FINRA arbitration through…
News - November 08 2023
Bates Expert Patrick Cox to Speak on IBDC Cybersecurity Webinar November 8th
Bates Expert Patrick Cox will be speaking on IBDC's upcoming Cybersecurity Webinar November 8th, 2023.
News - November 07 2023
Three Years Later, FINRA Continues to Scrutinize Rights of Reinstatement. Is Your Firm Next?
FINRA is continuing its focus on eligible customers receiving Rights of Reinstatement (“ROR”) benefits where appropriate. Read our full alert for a…
News - November 03 2023
Join Bates at the SIFMA C&L Forum in St. Petersburg, FL - Friday, November 3, 2023
Join Bates leaders Jennifer Stout and Hank Sanchez at the SIFMA C&L Forum, Friday, November 3rd in St. Petersburg, FL. Co-hosted by the FSDA.
News - November 02 2023
Congratulations to the FSDA on their 90th Anniversary!
Bates is a proud sponsor of the Florda Securities Dealers Association's (FSDA) 90th Anniversary Celebration, Thursday, November 2, 2023.
News - October 30 2023
5 Tips to Prepare for NMLS Annual License Renewal Season - Starting November 1
State regulators are encouraging individuals and businesses to start preparing now for the Nov. 1 start of Nationwide Multistate Licensing System (NMLS)…
News - October 22 2023
Join Bates at Money 20/20, October 22-25, 2023
Bates Director Michael Lindemann will be at the Money 20/20 conference Oct. 22-25 in Las Vegas.
News - October 17 2023
Bates Sponsors The 2023 Raymond James Valor Golf Outing October 28th
Bates is proud to be a sponsor of the 5th annual Raymond James Valor golf outing, Saturday, October 28th.
News - October 16 2023
Bates is a Proud Sponsor of the 2023 NSCP National Conference
Join Bates at the NSCP National Conference, October 16-18, 2023 in Dallas, TX. We are a proud sponsor of this year's event.