News

No Longer Acting: What’s In Store For The CFTC Under Proposed Permanent Chairman Giancarlo

Bates Research  |  04-25-17

No Longer Acting: What’s In Store For The CFTC Under Proposed Permanent Chairman Giancarlo

Last month, President Trump announced his intention to nominate Commodity Futures Trading Commission (“CFTC”) acting head J. Christopher Giancarlo to serve as permanent chairman. Mr. Giancarlo, a Republican and former executive at financial services firm GFI Group Inc., was an Obama-era appointee who joined the Commission in 2014.

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Meet Our New Experts

Bates News  |  04-19-17

Meet Our New Experts

Bates Group is proud to announce our new Experts and Consultants Douglas Woodcock, Mark Gaudian, Peter Bale and Timothy Durno.

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SEC Gives Final Approval to FINRA Rules Protecting Seniors and Tools for Firms to Respond

Bates Research, Practice Alerts  |  04-11-17

SEC Gives Final Approval to FINRA Rules Protecting Seniors and Tools for Firms to Respond

The Securities and Exchange Commission gave final approval to a FINRA proposal to protect senior investors and shield financial firms from liability when reporting suspected fraud against elderly clients. We have been covering this proposal through its many stages (see Bates Reporting: here; here; here and here.) Effective February 8th 2018, new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512 (Customer Account Information) will require full compliance.

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Newest Bates Expert Tim Durno to make Remarks at Palm Beach County Securities Seminar on April 12th

Bates News  |  04-10-17

Newest Bates Expert Tim Durno to make Remarks at Palm Beach County Securities Seminar on April 12th

Bates Group is pleased to announce that Timothy Durno, a 30-year financial leader veteran based in Martin County, Florida, has joined Bates as a consultant and expert, and will be making opening remarks this Wednesday, April 12th, at the Palm Beach County Bar Association’s CLE program entitled “The Changing Landscape of Securities Regulation, Arbitration and Litigation,” which Bates Group is proud to sponsor.

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Private Client Enforcement Priorities Roundup

Bates Research  |  04-05-17

Private Client Enforcement Priorities Roundup

Details from a breakout panel at SIFMA’s 2017 Compliance and Legal Society Annual Seminar in San Diego called “Private Client Enforcement Priorities,” moderated by Caroline Hall.  The panel focused on how firms have responded to FINRA’s enforcement activity over the past year.  Providing their perspective and joining Caroline Hall (Raymond James Financial, Inc.) on the panel were Jeffrey Coverdell (Wells Fargo & Co.), Cece Mavico (LPL Financial LLC), Susan Merrill (Sidley Austin LLP), and Susan Schroeder (FINRA).  Some of the areas the panelists focused on were the UIT examination letters, AML and compliance personnel liability, and high-risk brokers.

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Bates Expert Paul Carroll To Speak At Upcoming NYSBA Securities Conference

Bates News  |  04-05-17

Bates Expert Paul Carroll To Speak At Upcoming NYSBA Securities Conference

We are pleased to announce that Bates affiliate expert Paul Carroll will be a featured speaker at the New York State Bar Association’s 2017 Securities Arbitration and Mediation Conference on Thursday, April 6 in New York City.

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Bates AML Experts At ACAMS Spring Conference

Bates News, Practice Alerts  |  03-30-17

Bates AML Experts At ACAMS Spring Conference

We are pleased to announce that Bates Group affiliate expert Alison Jimenez will be a panelist on the ACAMS International AML & Financial Crimes Conference panel, “The Algorithm is Your Friend: Creating and Using Them to Strengthen AML” in Hollywood, FL., April 3-5, 2017. Ms. Jimenez will be joined at the conference by Geoff Winkler, Bates Group's Director of Fraud & Forensic Investigations.

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Nominee for SEC Chair Testifies Before Senate Banking Committee

Bates Research  |  03-30-17

Nominee for SEC Chair Testifies Before Senate Banking Committee

Brushing back criticisms that he is too much of a Wall Street insider to effectively regulate the securities industry, Jay Clayton testified before the Senate Banking Committee on the independent approach he would take if confirmed as the next Chair of the Securities and Exchange Commission.

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Bates Welcomes New Expert Douglas Woodcock

Bates News  |  03-19-17

Bates Welcomes New Expert Douglas Woodcock

Douglas Woodcock is Bates Group's newest Affiliate Expert and Consultant, who brings 36 years of experience in asset management, capital markets, investment banking and broker-dealer senior management to provide expert consulting and testimony on complex securities litigation and arbitration issues.

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Former SEC Enforcement Chief Discusses How Big Data Drives Investigations and Prosecutions

Bates Research  |  03-15-17

Former SEC Enforcement Chief Discusses How Big Data Drives Investigations and Prosecutions

During the January 26th 2017 SIFMA-Bates Group Leaders and Experts Forum: Managing Regulatory Investigations and Enforcement Matters in the Big Data-Driven Age, former Chief of the SEC Complex Financial Instruments Unit, and current partner in Simpson Thacher’s Government Investigations Group, Michael J. Osnato, Jr. discussed how big data is changing the way the SEC investigates and prosecutes misconduct. Mr. Osnato shared insights gleaned from his then-recently completed tenure at the agency, a period he termed the “golden age of enforcement.” 

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