News

FINRA Reorganizes for More Coordinated Exams, Highlights Priorities for 2020

Bates Research, Compliance and Regulatory Alerts  |  01-23-20

FINRA Reorganizes for More Coordinated Exams, Highlights Priorities for 2020

In his cover note accompanying FINRA’s annual Risk Monitoring and Examination Priorities letter, FINRA President and CEO Robert Cook reminded members of significant enhancements to the examination program going forward. Bates Research has analysis, commentary and highlights of FINRA’s continuing and emerging concerns, along with our 2020 FINRA chart, which keeps track of articulated priorities from year to year.

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Download The New Reg BI White Paper from Bates Research and Bates Compliance

Bates Research, Compliance and Regulatory Alerts  |  01-22-20

Download The New Reg BI White Paper from Bates Research and Bates Compliance

Understand what Reg BI requires now — and what more you must implement before the final deadline. Download our new white paper: "SEC’s Regulation Best Interest Perspectives on Firm Compliance."

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OCIE to Prioritize Reg BI Compliance in 2020 Examinations

Bates Research, Compliance and Regulatory Alerts  |  01-16-20

OCIE to Prioritize Reg BI Compliance in 2020 Examinations

The SEC Office of Compliance Inspections and Examinations ("OCIE") set out their 2020 examinations priorities in an annual report issued last week. The report reminds registered entities that all its priorities are within the SEC’s mandate to protect investors, facilitate capital formation, and maintain fair, orderly and efficient markets. The report is, in effect, a notice to the industry and chief compliance officers to address potential vulnerabilities in compliance programs and practices in order to minimize retail investor and market risks. Bates Research takes a closer look.

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Bates Expert William Jannace Quoted in Investment News Article

Bates News  |  01-15-20

Bates Expert William Jannace Quoted in Investment News Article

Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News.

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Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Events  |  01-10-20

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020 in New York, NY.

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FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter

Bates Research, Compliance and Regulatory Alerts  |  01-10-20

FINRA Releases 2020 Risk Monitoring and Examination Priorities Letter

FINRA has announced their regulatory and examination priorities for the upcoming year. New for this year is a focus on Regulation Best Interest (Reg BI) and Form CRS (Client Relationship Summary).

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Massachusetts State Fiduciary Rule and NAIC Annuity Standards Proposals Continue to Move Forward

Bates Research  |  01-09-20

Massachusetts State Fiduciary Rule and NAIC Annuity Standards Proposals Continue to Move Forward

Bates Group continues to track a host of issues affected by the adoption of Regulation Best Interest (“Reg BI”), the 2019 package of rules and interpretations from the SEC setting standards of conduct for broker-dealers and independent advisers. These include a variety of state responses to the federal regulation, as well as Reg BI impacts on issuers of other complex financial products sold through brokers and advisers, specifically, recommendations to consumers on transactions involving annuity products. This week, Bates Research takes a look at some of the latest developments by the Massachusetts Securities Division and the National Association of Insurance Commissioners (“NAIC”).

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SEC Office of Compliance Inspections and Examinations Announces their 2020 Examination Priorities

Bates Research, Compliance and Regulatory Alerts  |  01-07-20

SEC Office of Compliance Inspections and Examinations Announces their 2020 Examination Priorities

The SEC's Office of Compliance Inspections and Examinations has announced their exam priorities for the upcoming year. Stay tuned to the Bates News page in the upcoming weeks for our expert commentary on the SEC's 2020 objectives

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Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.

Bates News, Compliance and Regulatory Alerts  |  01-06-20

Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.

Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston, Texas. Veteran compliance leader and TARI Founder & President Linda Shirkey will join Bates Group, along with Shelley Dragon, TARI’s director of client service, as members of the Bates Compliance team. The acquisition further expands Bates Compliance with greater access and resources to service Registered Investment Advisers (RIAs), as well as private equity and hedge fund firms across the United States.

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Reg BI Countdown – Is Your Firm Ready?

Bates News, Compliance and Regulatory Alerts  |  12-19-19

Reg BI Countdown – Is Your Firm Ready?

Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Bates Compliance helps firms achieve Reg BI readiness.

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