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News - March 13 2023

Banking Alert: Silvergate Capital, Silicon Valley Bank, and Signature Bank

On Sunday, U.S. regulators seized Signature Bank, and on Friday, U.S. regulators seized the assets of Silicon Valley Bank (“SVB”). The seizure…

News - March 10 2023

What is the Purpose of Consumer Protection Laws?

Consumer protection laws are designed to protect consumers, to keep sellers honest and to protect purchases of goods from fraudulent or deceptive…

News - March 10 2023

Bates is a Proud Sponsor of the SIFMA C&L 2023 Annual Seminar - Booth #516

Bates is a proud returning sponsor of the SIFMA C&L 2023 Annual Seminar, March 12-15 at the Marriott Marquis San Diego Marina. Visit…

News - March 09 2023

Ira D. Hammerman Interviewed in ThinkAdvisor, Law360 on His Move to Bates

Publications including ThinkAdvisor, Law360, SIFMA SmartBrief, and Politico have all recently mentioned Ira D. Hammerman's new role as Bates Group Managing Director.

News - March 08 2023

The New Jersey Digital Asset and Blockchain Technology Act:  A Better Licensing Alternative than New York?

In the coming months, the New Jersey legislature is expected to pass the Digital Asset and Blockchain Technology Act, a bill that…

News - March 06 2023

Bates Experts and Consultants to Speak at NASAA 2023 Enforcement Training

Bates Group Managing Consultant Lindsey Dean and Alison Jimenez, Independent Expert, to speak at the NASAA 2023 Enforcement Training, March 7-9, 2023. Online…

News - March 06 2023

Former SIFMA Executive VP & General Counsel Ira D. Hammerman Joins Bates Group as Managing Director

We are proud to announce that Ira D. Hammerman has joined Bates Group as Managing Director. 

News - March 02 2023

FINRA Arbitration Update - February 2023

FINRA proposed amendments to the Codes of Arbitration Procedures for Customer Disputes and Industry Disputes that would affect the arbitrator list selection…

News - February 28 2023

Join Bates at the 2023 IAA Compliance Conference, March 12-14, 2023 in Washington, D.C.

Bates Compliance is a proud sponsor of the 2023 IAA Compliance Conference, March 12-14, 2023, in Washington, D.C. 

News - February 20 2023

SEC 2023 Exam Priorities Comparison Chart and Summary: New Marketing Rule, Reg BI and Private Funds Top this Year’s List

News - February 14 2023

SIFMA C&L Future Leaders CLE Program: “Lessons Learned from Crisis in the Financial Markets”

Bates is a proud sponsor of  the upcoming CLE program "Lessons Learned from Crisis in the Financial Markets," Wednesday, February 15th in…

News - February 13 2023

Spotting and Reporting Romance Scams

Romance scams are a growing concern, as evidenced by The Federal Trade Commission’s report that romance fraud is one of the most…

News - February 10 2023

FINRA and SEC Increase Focus on Reg BI Compliance – What You Need to Know

In its latest annual report on examinations and risk monitoring, FINRA offered the regulator’s perspective on strengthening compliance programs on Reg BI…

News - February 07 2023

SEC Division of Examinations Announces 2023 Examination Priorities

The Securities and Exchange Commission’s Division of Examinations has just released its 2023 examination priorities report, providing insights into its risk-based approach, including the areas it believes…

News - February 07 2023

Bates Managing Director Brandi Reynolds to speak at SWIFS Lunch and Learn February 14, 2023

Bates Group AML Compliance and Virtual Assets Managing Director Brandi Reynolds, CAMS-Audit, will appear at the upcoming SWIFS Lunch and Learn "Fireside Chat:…

News - February 06 2023

Understanding NY DFS Rule 504

Are you a regulated financial institution that operates in New York? If so, it is important to familiarize yourself with the New…

News - February 03 2023

Meet Bates Testifying Experts in Blockchain and Digital Assets, including Crypto and Virtual Currencies

Meet Bates Group's Testifying experts specializing in Blockchain and Digital Assets, including Crypto and Virtual Currencies.

News - February 02 2023

NYDFS Guidance on Digital Asset Custody – What It Is and How to Comply

On January 23, 2023, the New York Department of Financial Services (NYDFS) issued new guidance on regulated entities which custody digital assets,…

News - January 24 2023

FINRA 2023 Exam and Risk Monitoring Report with Bates Chart and Summary – Prioritizing the Priorities

Issued on January 10, 2023, the comprehensive report from FINRA’s regulatory operations covers 24 topics addressing issues that "remain perennially important, with updates…

News - January 24 2023

New Cryptoasset Certification from ACAMS and Bates Group

Bates Group consultants Brandi Reynolds and John Ashley have combined their expertise with other AML, cryptoasset and law enforcement professionals to create…

News - January 23 2023

Brandi Reynolds Speaking on Cryptocurrency Webinar - Jan. 24, 2023

Bates Managing Director Brandi Reynolds is speaking on the "State of Cryptocurrency As We Head Into The New Year" at the ACAMS Colorado…

News - January 19 2023

Louisiana Puts in Place New Virtual Currency Business Activity License

Businesses that are interested in engaging in virtual currency activities in Louisiana must now take steps to file for a license from…

News - January 18 2023

Human Trafficking Prevention Month - January 2023

January is National Human Trafficking Prevention Month. Financial institutions play a critical role in helping to fight human smuggling and human trafficking by identifying…

News - January 17 2023

Bates Sponsors the NYSBA Annual Meeting 2023 and WILS Symposium, Jan 18-24, 2023

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 19th Annual Edith I. Spivack Symposium and…

News - January 13 2023

New York Sets Guidance for Approval of Virtual Currency Activities

All New York banking organizations—and all New York licensed branches and agencies of foreign banking organizations—must get approval from the New York…

News - January 11 2023

What Banks Should Consider When Accepting Crypto Customers

Banks are quickly realizing that it’s time to embrace crypto customers. With the rise of digital banking, more people are choosing to…

News - January 10 2023

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

FINRA has announced the publication of the 2023 Report on FINRA's Examination and Risk Monitoring Program. The comprehensive report from FINRA’s regulatory operations covers…

News - January 04 2023

Are You Doing Enough to Supervise Your Options Accounts?

Beginning in August 2021, FINRA examined firms to assess the sufficiency of their practices and controls over options accounts. FINRA just issued…

News - December 21 2022

Bates Group Managing Director Brandi Reynolds Featured in CrossTech Magazine

Bates Managing Director Brandi Reynolds, BSA/AML Compliance, MSBs, FinTech, and Virtual Assets, is featured in the latest issue of CrossTech Magazine. Read…

News - December 16 2022

SEC Exams Division Warns Firms Against Lax Compliance on Rules to Prevent Identity Theft

The SEC Divison of Examinations and Office of Investor Education and Advocacy have both issued recent alerts about protecting investors from identity theft. The first…

News - December 13 2022

SEC to IAs: Take ESG Compliance Very Seriously

The SEC recently held a National Seminar on compliance for investment advisers and investment company senior officers. Of the many important panels…

News - December 12 2022

Fraud Trends & Predictions for 2023: Webinar with Unit21 - Thursday, December 15, 2022

Join Bates Group Senior BSA/AML/OFAC Consultant John Ashley and other industry-leading voices for a webinar on December 15…