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The Importance of SBOM Compliance in Financial Services
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06-12-24

The Importance of SBOM Compliance in Financial Services

The Software Bill of Materials (SBOM) can be an action-oriented and powerful tool to help you maintain the security, transparency, and compliance of your software systems, especially when incorporating AI and Machine Learning (ML).

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Webinar: Managing the State Exam Process

06-04-24

Webinar: Managing the State Exam Process

This new compliance webinar features industry experts from Bates Group, eToro, Alviere, and Pillsbury Winthrop Shaw Pittman LLP, who will provide you with valuable insights and strategies for navigating state exams effectively.

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Community Banks and BaaS: New Guidance on Managing Risks
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05-28-24

Community Banks and BaaS: New Guidance on Managing Risks

New guidance from regulators highlights the importance of strong Third-Party Risk Management (TPRM) for community banks offering Banking-as-a-Service (BaaS). The article explores the benefits and risks of BaaS relationships and provides key next steps for Risk Managers in community banks.

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Common Examination Criticisms with Data and Technology Systems
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05-22-24

Common Examination Criticisms with Data and Technology Systems

Recent reports indicate a rise in Bank Secrecy Act (BSA) enforcement actions. However, consent orders focus on data & tech across compliance areas instead of in a dedicated section. This article unveils how regulators address these critical elements – and what it might mean for your institution.

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Managing the Privacy Function in a Financial Institution
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05-01-24

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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Common Examination Criticisms of the “BSA Officer”
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04-24-24

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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Bates Sponsors 2024 FSDA Industry Outreach Program April 18

04-18-24

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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