News

Expert Spotlight: Bates Fraud and Forensic Expert Mary-Jo Kranacher

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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DOL Fiduciary Duty Rule: What Your Firm Should Do Now

Bates Research  |  08-17-17

DOL Fiduciary Duty Rule: What Your Firm Should Do Now

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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Financial Regulatory Roundup: New Players Set to Advance New Agenda

Bates Research  |  08-10-17

Financial Regulatory Roundup: New Players Set to Advance New Agenda

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 Group’s David Birnbaum on Compliance and Acquisition for FP Transitions’ Roundtable

Bates News, Practice Alerts, Industry News  |  08-09-17

Bates Group’s David Birnbaum on Compliance and Acquisition for FP Transitions’ Roundtable

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 Team Spotlight: Giving Back to our Communities

Bates News  |  08-02-17

Bates Team Spotlight: Giving Back to our Communities

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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FINRA President and CEO Sets Forth Comprehensive Bad Actor Initiative

Bates Research  |  07-27-17

FINRA President and CEO Sets Forth Comprehensive Bad Actor Initiative

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 Fraud Awareness Training and Workshops

Bates News, Practice Alerts  |  07-25-17

Bates Fraud Awareness Training and Workshops

Bates Fraud & Forensic Investigations Practice now offers Fraud Awareness Training and Workshops

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Meet Our Advanced Analytics Consultants

Bates News  |  07-24-17

Meet Our Advanced Analytics Consultants

Bates Group is proud to introduce our Advanced Analytics Consultants Matthew Armstrong, Aleksey Cherevatenko, Justin Kerr and Alex Russell.

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Is the End Near For Mandatory Arbitration Clauses in Consumer Financial Contracts?

Bates Research  |  07-19-17

Is the End Near For Mandatory Arbitration Clauses in Consumer Financial Contracts?

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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AML Update: Keeping an Eye on Developments

Bates Research  |  07-12-17

AML Update: Keeping an Eye on Developments

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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