News

New CFTC Commissioner Proposes “21st Century” Approach

Bates News, Bates Research  |  10-18-17

New CFTC Commissioner Proposes “21st Century” Approach

At the CFTC a line has been drawn: the regulator will shift away from focusing on “regulating the last crisis” to ensure that they remain relevant in modern markets. Rather than reacting to market innovation, the CFTC sees a role for itself in advancing and promoting innovation. This new viewpoint was prominently discussed in the first public address of Brian Quintenz, newly sworn in as Commissioner of the CFTC. Mr. Quintenz challenged the entire approach undertaken by his predecessors toward regulating the activity of the sector.

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NASAA Issues Annual Securities Enforcement Report and Expands Resources for IAs and BDs

Bates News, Bates Research  |  10-12-17

NASAA Issues Annual Securities Enforcement Report and Expands Resources for IAs and BDs

In his first address to the North American Securities Administrators Association (NASAA), newly-elected and third-time President Joseph Borg identified key priorities for his upcoming term. He emphasized cooperation between state and federal regulators and highlighted NASAA’s commitment to strengthened enforcement, technology advancement and cybersecurity. 

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New SEC, State Regulator Initiatives and Filings Amid Cyber Breaches

Bates News, Bates Research  |  10-04-17

New SEC, State Regulator Initiatives and Filings Amid Cyber Breaches

Testifying at an oversight hearing before the Senate Banking Committee on September 26, 2017, SEC Chairman Jay Clayton addressed concerns over the SEC’s disclosure of a 2016 cyber-security breach involving its own EDGAR system for corporate filings, as well as the massive breach of the Equifax credit reporting agency database that put in jeopardy the personal information of over 140 million Americans. In response to these cyber incidents, the SEC is planning to utilize its new Cyber Unit, and New York State has propsed regulations that would give its Department of Financial Services the power to oversee credit reporting agencies.

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Bates Group Introduces Arbitrator Evaluator™

Bates News  |  09-26-17

Bates Group Introduces Arbitrator Evaluator™

Bates Group today introduced Arbitrator Evaluator™ — an essential information source and analytical tool to streamline and enhance the time-consuming process of identifying, ranking, and selecting arbitrators.

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A Conversation on Big Data in Enforcement: How Firms and Compliance Officers Should Prepare

Bates News, Bates Research  |  09-21-17

A Conversation on Big Data in Enforcement: How Firms and Compliance Officers Should Prepare

This week, Bates Research sits down with experts Alex Russell and Shane Shook to talk about data analytics and regulatory enforcement, the increasingly complex responsibilities of compliance officers, and what firms should be doing to prepare in this changing technological landscape.

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Meet the Newest Bates Group Experts

Bates News  |  09-12-17

Meet the Newest Bates Group Experts

Bates Group is proud to introduce our newest Experts: Bill Jannace, Barry Koch, Bob Kopprasch and Jeff Mazer.

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Part 3 - David Birnbaum on Compliance Audits & Practice Value for FP Transitions’ Roundtable

Bates News, Practice Alerts, Industry News  |  09-12-17

Part 3 - David Birnbaum on Compliance Audits & Practice Value for FP Transitions’ Roundtable

We are pleased to share the conclusion of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. 

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Senior Investors Update: New Developments Signal Tough Line on Elder Financial Abuse

Bates News, Bates Research  |  09-06-17

Senior Investors Update: New Developments Signal Tough Line on Elder Financial Abuse

A FINRA arbitration panel recently assessed over $1.5 million in costs, disgorgement and punitive damages against a privately held financial services and investment firm in relation to allegations of senior financial abuse and violations of state and federal securities laws (among other claims). The outcome of this case, together with a new North American Securities Administrators Association (NASAA) "Pulse Survey" of state securities regulators on the topic of senior financial fraud, and a newly announced National Association of Attorneys General senior financial fraud initiative are the latest chapters in the story of an industry working to address elder and vulnerable clients. Bates Group has been following both the federal and state efforts to help seniors and other vulnerable investors.

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OMB Approves DOL Fiduciary Rule Delay

Bates News, Practice Alerts, Industry News  |  08-31-17

OMB Approves DOL Fiduciary Rule Delay

On August 28, 2017, the Office of Management and Budget approved the Department of Labor’s (DOL) 18-month Fiduciary Duty Rule (Rule) delay request, extending the Transition Period and applicability of certain requirements and exemptions of the Rule until July 1, 2019.

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Part 2 - David Birnbaum on Compliance and Acquisition for FP Transitions’ Roundtable

Bates News, Practice Alerts, Industry News  |  08-25-17

Part 2 - David Birnbaum on Compliance and Acquisition for FP Transitions’ Roundtable

We are please to share this continuation of FP Transition's video roundtable series featuring Bates Managing Director David Birnbaum. The series will wrap up with Part 3 after Labor Day.

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