Bates News, Industry News | 08-17-17
Expert Spotlight: Bates Fraud and Forensic Expert Mary-Jo Kranacher
Expert Spotlight on Fraud & Forensics Expert Mary-Jo Kranacher, MBA, CPA/CFF, CFE.
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Bates News, Industry News | 08-17-17
Expert Spotlight on Fraud & Forensics Expert Mary-Jo Kranacher, MBA, CPA/CFF, CFE.
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Bates Research | 08-17-17
The road to implementation of the Department of Labor’s fiduciary duty rule continues to be bumpy. The latest turn may mark yet another delay of the Rule. Specifically, the requirements of the Rule that took effect on June 9, 2017 may be extended from its original, full compliance date of January 1, 2018 to July 1, 2019. Today we report on the DOL’s recent moves and offer recommendations for financial services firms to consider as they navigate the ongoing regulatory and compliance uncertainty.
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Bates Research | 08-10-17
At the SEC, CFTC and FINRA, key personnel changes are finally taking place, and with them some repositioning around new agendas. Today we bring you an update on recent developments and appointments to watch.
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Bates News, Practice Alerts, Industry News | 08-09-17
Bates Group is pleased to announce the release of this first of three special Roundtable Talks featuring FP Transitions’ Marcus Hagood’s one-on-one interview with Bates Managing Director David Birnbaum to discuss the importance of compliance when it comes to acquisitions, as well as recent regulatory changes.
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Bates News | 08-02-17
Bates Group is dedicated to giving back to the communities where we work and live by donating our time and talent. Here we highlight some of the contributions made by members of the Bates team.
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Bates Research | 07-27-17
This is the second installment in our ongoing look at FINRA’s efforts to address high risk brokers, also referred to by FINRA as “bad actors.” Our first installment discussed the set of proposals recently approved by FINRA’s Board of Governors to identify high risk brokers and enhance tools for disciplinary actions, examinations and ongoing surveillance. In a speech before the Georgetown Center for Financial Markets and Policy, Robert Cook, President and CEO of FINRA, set forth FINRA’s comprehensive approach to the self-regulatory agency’s existing and developing programs and practices to protect investors and markets from bad actors.
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Bates News, Practice Alerts | 07-25-17
Bates Fraud & Forensic Investigations Practice now offers Fraud Awareness Training and Workshops
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Bates News | 07-24-17
Bates Group is proud to introduce our Advanced Analytics Consultants Matthew Armstrong, Aleksey Cherevatenko, Justin Kerr and Alex Russell.
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Bates Research | 07-19-17
Reactions to the issuance of a final rule by the Consumer Financial Protection Bureau (“CFPB”) prohibiting the use of mandatory arbitration clauses to block consumers of certain financial products and services from filing class action lawsuits have been swift and partisan.
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Bates Research | 07-12-17
There are many diverse players and moving parts in the evolving anti-money laundering (AML) regulatory landscape. Since we last checked, there have been congressional hearings on the domestic compliance obligations mandated by the Bank Secrecy Act; the introduction of two bipartisan legislative initiatives; and the passing of a final deadline for member states to implement EU AML regulations into their national laws. The activity reflects the ongoing political dynamic of how best to address the scourge of money laundering and terrorist financing.
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