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White Paper

Economic and Capital Markets Analysis: 2023 Year in Review U.S. Chartbook

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 Featured as Speakers at SIFMA Chief Risk Officers’ Roundtable, April 4-5 in Chicago

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…

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 Expands Client Base with the Acquisition of Client Engagements from D Nauss and Associates LLC

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 Proposes AML Requirements for SEC-Registered Investment Advisers and Exempt Reporting Advisers

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

Key Takeaways from the SEC’s 2024 Examination and Enforcement Priorities with Bates Group’s Comparison Chart

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)…