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Managing the Privacy Function in a Financial Institution

04-09-24

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 sending of the initial and annual Privacy Notices. In this article we look at the multiple departments, disciplines, and skillsets needed for effective management of the Privacy function.

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Bates Sponsors 2024 FSDA Industry Outreach Program April 18

04-05-24

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 the University of South Florida CAMLS center. Hear from industry professionals, regulators, and the country's top experts on industry trends, regulatory challenges, and what the rest of 2024 and the future hold.

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SEC Adopts Internet Adviser Exemption Rule Changes

04-02-24

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 longer eligible under the exemption must withdraw its SEC registration and register in one or more states by filing a Form ADV-W by June 29, 2025.

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Common Examination Criticisms of the “BSA Officer”

04-02-24

Common Examination Criticisms of the “BSA Officer”

BSA examiners hold institutions dealing with Fintechs to a higher standard. Bates Group explores how examiner criticisms regarding the BSA Officer role can be a sign of a broader BSA/AML program issue. Read the full article to learn the five key areas examiners scrutinize and how institutions can strengthen their AML programs to navigate the complexities of Fintech firms.

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AI Inventory and Risk Assessment: What a Financial Institution Risk Officer Needs to Know

03-14-24

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 what AI is being used, by whom, and for what purpose inside their firm. Regardless of where an institution is in its AI journey, it’s best to take the time to conduct an AI inventory and risk assessment to identify and remediate risks in order to stay safe and sound.

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2023 FINRA Dispute Resolution Statistics: A Look Back

03-06-24

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. Despite the shift, core dispute themes remained stable, with top customer-member controversies and security types holding steady. We take a look at the entire year's statistics and trends in this new report.

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