Events  |  09-17-21

Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule

Join Bates Compliance leaders Linda Shirkey and Rhonda Davis for this complimentary webinar as they examine key provisions of the new marketing rule, address investment adviser concerns, and discuss practical ways to conform oversight, recordkeeping and disclosure requirements under the rule. Wednesday, September 29, 2021 at 1:00 p.m. ET.


Bates News, Bates Research  |  09-15-21

FINRA Issues Updated Vendor Supervision Guidance, Seeks Feedback on Cloud Computing; Warns of New Phishing Scam

FINRA remained busy through the end of Summer with several important regulatory actions. New actions included issuing updated guidance on supervision of third-party vendors, requesting feedback on a report by the Office of Financial Innovation (“OFI”) concerning broker-dealer approaches to cloud computing, and raising additional alarms about a phishing campaign using fraudulent FINRA email domains.


Compliance and Regulatory Alerts  |  09-14-21

FINRA Rules Addressing Brokers with Significant History of Misconduct Go Into Effect

New FINRA rules for protecting investors from brokers with a significant history of misconduct went into effect on September 1, 2021. The new rules, adopted on March 10, 2021, broaden authority to discipline associated persons, impose stricter supervision on firms, and mandate greater disclosure in various proceedings.


Bates News, Bates Research  |  09-09-21

Now Available: ESG for CCOs by Bates Compliance Managing Director Hank Sanchez in NSCP Currents

Bates Compliance Managing Director Hank Sanchez's new article, "ESG – What it is and How CCOs Can Get Ahead of the Issues at Their Firms" (first appearing in the August 2021 issue of NSCP's Currents publication), provides timely and important insight for CCOs and firms tasked with addressing ESG. Read the reprint here.


Bates News  |  09-02-21

Bates 2021 Summer Roundup: Catch Up On What You Missed and What’s Happening Going Forward

While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this Fall.


Events  |  08-31-21

Bates Sponsors the IBDC 2021 Risk Management Conference

Bates Group is a proud sponsor of the  IBDC 2021 Risk Management Conference, September 12-15, 2021, at the Montage Palmetto Bluffs in Bluffton, SC. This conference is attended by Chief Executive Officers, Chief Compliance Officers, Risk Management Officers, and Due Diligence Officers of major national IBDs and RIAs. Bates Group Director Andrew Daniel is a featured speaker.


Events  |  08-30-21

Bates Sponsors Raymond James’ 2021 Valor Golf Outing - 9/11/2021

Bates Group is proud to honor and support veterans as a sponsor of the Raymond James Valor Network annual golf tournament event on Saturday, September 11th, 2021.


Bates Research  |  08-19-21

Webinar Takeaways - Employment Issues: What to Expect Going Forward

Bates Group recently hosted employment litigators and experts for a CLE program to discuss the effects that current and future employment issues have had on workforce reintegration, supervisory activity, mental health and substance abuse, disciplinary actions, and Form U5 language and terminations. Panelists included financial services industry leaders and Bates Group Experts who shared what they are seeing today and what employers and employees can expect going forward in the post-COVID work environment. Bates looks at the highlights and insights from the program.


Compliance and Regulatory Alerts  |  08-17-21

Regulatory Alert: FINRA Exam Letter Targets Options Trading

On August 10, 2021, FINRA issued a targeted examination letter alerting firms that the regulator was conducting a review of all activities related to options accounts. In the new examination letter, FINRA requests information on account supervision, communications, and diligence from January 1, 2021, through August 10, 2021 (the date of the letter). Though the due date for the information has not yet been published, firms should begin working to formulate their responses immediately.


Bates Research  |  08-12-21

The Inevitability of Cryptocurrency Regulation: The Race to Establish a Regulatory Framework is On

Legislators, administrators and regulators have publicly advocated for government intervention to protect consumers and investors from cryptocurrency price volatility and the fraud and money laundering that has proliferated across digital platforms. With the passage of the bipartisan infrastructure bill in the U.S. Senate, comprehensive regulation of the industry seems inevitable. Meanwhile, SEC Chair Gensler’s recent remarks on crypto assets demonstrate the regulator’s focus on addressing gaps and protecting investors.


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