10-23-26
Managing Consultant Lindsey Dean, CPA, CFE, will attend ACI’s Fraud, Asset Tracing & Recovery conference in Miami, October 29 to 30, 2026. Bates Group helps institutions and law firms trace assets and quantify losses before funds move again.
10-22-26
Shadow AI creates data exposure and supervision gaps that examiners, boards, and clients will ask about. Join Bates Group and SurgeONE.ai to find hidden AI use, understand Regulation S-P obligations, and build governance that brings AI into the open.
10-14-26
Romance scams often pass authentication because the real customer logs in and requests the transfer. Bates Group examines how these schemes cross fraud, cybersecurity, AML, and supervision, and what FINRA’s proposed Rule 2166 means for firm readiness.
10-13-26
Bates Group Managing Director Jack Bruno, CRCP, joins the RIA Compliance Best Practices panel at Raymond James EMPOWER, October 25 to 28 in Tampa, covering supervision evidence, fee-billing, conflicts of interest, and examination readiness.
10-02-26
The SEC's new Exam Handbook puts examiner expectations in writing: 24-hour record readiness, no AI notetakers in meetings, and leadership at the exit conference. See how RIAs and broker-dealers can prepare before the exam notice arrives.
10-01-26
Bank partners, examiners, and boards are asking harder questions about compliance. Bates Group's team will be at Money20/20 USA, October 18-21, 2026, in Las Vegas, to meet with banks, fintechs, MSBs, and digital asset firms.
09-28-26
Bates Group's Kurt Wachholz, IACCP, joins Compliance in Context to explain how firms can train compliance officers to exercise judgment in the AI era, where reasoning matters more than research. Presented by the National Society of Compliance Professionals.
09-23-26
The SEC Division of Examinations published a Risk Alert on September 14, 2026, describing what examiners find when they test adviser compliance with the annual review requirement. Staff observations cover five areas, including advisers who treated compliance training and personnel attestations as satisfying the review. Bates Group summarizes the findings.
09-18-26
Rhonda Davis, Hank Sanchez, and Jennifer Selliers lead featured sessions at the 2026 NSCP National Conference, October 25–28 in Orlando. Bates group is a proud sponsor.
09-14-26
A compromised brokerage account is now as likely to be used to move a stock price as to move funds. That changes what surveillance has to catch, and what a firm has to be able to prove afterward.
09-10-26
SEC approves FINRA Rule 4515.01 changes removing principal approval for qualifying investment adviser bulk order allocations; effective date pending.
09-03-26
Bates Group Managing Director Jennifer Selliers will attend ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.
09-02-26
Kurt Wachholz has been promoted to Senior Managing Director and Compliance Practice Lead
08-13-26
FinCEN permanently ends CTA beneficial ownership reporting for U.S. entities while CDD obligations remain for covered financial institutions.
08-11-26
A common but underrecognized risk has emerged across the industry: employees using free AI tools to handle client information without firm approval, which creates exposure under the amended Regulation S-P. Learn how AI governance, supervision, data protection, and vendor oversight can close compliance gaps.
08-06-26
Meet Antonio Rega at SER's Annual Conference, August 6–7, 2026 in Washington, D.C., and discuss digital forensics, cybersecurity, investigations, and expert witness services.