News

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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NASAA’s 2017 Priorities to Congress Hint at Challenges Ahead for State Regulators

Bates Research  |  03-08-17

NASAA’s 2017 Priorities to Congress Hint at Challenges Ahead for State Regulators

The President of the North American Securities Administrators Association (“NASAA”) is supporting the besieged fiduciary duty rule and has advocated for the independence of state securities regulators. In NASAA’s official recommendations to the 115th Congress of the United States, President Mike Rothman urged “Congress and the Administration to promote financial regulatory policies that hold true to our shared responsibility to look out for investors and preserve the integrity of our capital markets.”

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FINRA Dispute Resolution Update: 2017 Arbitration Reform

Bates Research  |  02-28-17

FINRA Dispute Resolution Update: 2017 Arbitration Reform

On February 8, the Financial Industry Regulatory Authority (FINRA) released a new report on the status of recommendations made by the FINRA Dispute Resolution Task Force. The 13-member Task Force was formed in July 2014 to “improve the transparency, impartiality and efficiency of FINRA's securities arbitration and mediation forum.”

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Don’t Let Your Guard Down:  State and Federal Rulemakers Move Forward on Cyber Security

Bates Research  |  02-22-17

Don’t Let Your Guard Down:  State and Federal Rulemakers Move Forward on Cyber Security

The changing of the guard in Washington has not slowed down cyber security regulators at the national or state level. Over the last several weeks, longstanding efforts have continued apace. The New York State Department of Financial Services published final cyber security regulations mandating standards for banks and insurers. The U.S. Department of Commerce’s National Institute of Standards and Technology proposed updates to its 2014 Framework for Improving Critical Infrastructure Cybersecurity, and the White House itself prepared – and then postponed temporarily – a proposed new Executive Order. 

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Bates Expert Professor Ronald Filler to Speak at ABA Spring Financial Crisis Panel

Bates News  |  02-21-17

Bates Expert Professor Ronald Filler to Speak at ABA Spring Financial Crisis Panel

We are pleased to announce that Bates Group Expert Professor Ronald Filler will be the Moderator of the ABA Section on International Law's Spring 2017 Program, “Financial Crisis Reform or a Financial Crisis Missed Opportunity?” in Washington, D.C., April 25-28, 2017.

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The War on Talent: Competing for the Compliance Professional

Bates Research  |  02-15-17

The War on Talent: Competing for the Compliance Professional

Bates Group Director of Fraud and Forensic Investigations Geoff Winkler discusses the "War on Talent" which was a recurring topic at SIFMA's 2017 AML and Financial Crimes conference in New York.

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Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates News  |  02-14-17

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee

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SIFMA / Bates Group 2017 Leaders & Experts Forum

Bates News  |  02-13-17

SIFMA / Bates Group 2017 Leaders & Experts Forum

Photos from the SIFMA/Bates Group Leaders and Experts Forum in New York City : “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” 

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OCIE Issues Risk Alert of the Top Compliance Topics

Industry News  |  02-09-17

OCIE Issues Risk Alert of the Top Compliance Topics

The Office of Compliance Inspections and Examinations' (“OCIE”) National Examination Program issued a Risk Alert of the “Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers.”

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