2022 Summer Roundup – What You Missed, What Is Happening This Fall

Bates Welcomes Paul Lambert, Former Bank of America Chicago Market President and Merrill Lynch Midwest Division Executive, as a Strategic Advisor and Consulting Expert - Bates Group

We've Moved! Bates Relocates to Lincoln Center in Portland - Bates Group

Bates Group Expands its National MSB, FinTech, and Cryptocurrency Practice - Bates Group

Bates Welcomes New Consulting and Testifying Experts – June 2022 - Bates Group

Bates Managing Director Julie Johnstone Quoted in InvestmentNews Article on Reg BI and FINRA Arbitration - Bates Group

Bates Managing Director Brandi Reynolds Quoted on the Pending Regulatory Framework for Crypto and Virtual Assets - Bates Group

See All Bates News & Events

August

• On the Radar with FINRA: Remote Offices, Expungements, Customer Account Transfers, Digital Signature Forgeries - Bates Group
• New Developments for New York BitLicense Holders and Applicants - Bates Group
• Is Past Really Prologue When It Comes to Your Mutual Fund Share Class Selection, Conflicts, and Disclosures? - Bates Group
• SEC Staff Offers Additional Guidance on BD and IA Conflicts of Interest - Bates Group
• The SEC Marketing Rule - What You Need to Know - Bates Group

July

• FINRA Proposes Updates to Supervisory Rule on Home Offices - Bates Group
• Reg BI Makes FINRA’s Dispute Resolution Stats List and Other Notable Arbitration Developments - Bates Group
• SEC Case finding CCO “Aided and Abetted” Raises New Questions; Is a Liability Framework Next? - Bates Group

June

• Fighting Elder Financial Exploitation: FinCEN Releases Behavioral and Financial Red Flags, NASAA Publishes Guidance on POAs, CFTC Releases Warnings - Bates Group
• A Comprehensive Bi-Partisan Approach to Cryptocurrency: New Senate Bill Seeks to Establish Digital Asset Framework and Legal Oversight - Bates Group
• Regulatory and Legislative Action on SPACs Gaining Momentum: SEC Rule Proposal and Senate Legislation Introduced; Class Actions Growing - Bates Group
• Non-Fungible Tokens: a Beginner’s Perspective - Bates Group
• SEC Proposes Amendments to ESG Disclosure Rules and Forms - Bates Group

Here's a fun song to get you moving and grooving with that summer feeling.

• September 7^th - ACAMS Chapter Meeting: Cryptocurrency from A to Z webinar – Brandi Reynolds, Managing Director, AML & Compliance, is speaking.
• September 13^th - Southeast Women in Finance (SWIFs) Virtual Lunch and Learn, Fireside Chat: Crypto in the News – Brandi Reynolds is speaking.
• September 19^th - SIFMA C&L Regional Seminar, Charlotte, NC – Meet up with Bates Leaders and Experts.
• September 19-22^nd - MTRA Annual Conference, Fort Worth, TX – Meet Bates AML Expert and Strategic Advisor Connie Fenchel.
• September 30^th - FSDA Industry Outreach Program , Boca Raton, FL – Join Jennifer Stout, Bates CEO and FSDA President. Bates is a diamond sponsor.
• October 5-7^th - South Carolina Blockchain Conference , Charleston, SC – Brandi Reynolds is speaking.
• October 17-19^th - NSCP National Conference, National Harbor, MD – Managing Director Hank Sanchez is speaking. Visit the Bates Compliance Booth # 25 and connect with Director Rory O’Connor.
• October 10^th - IAMTN Summit 2022, London, UK – Bates Advisor and Consultant Rob Ayers is speaking.
• October 10-13^th - InFin Money Trends 2022, Austin, TX – Brandi Reynolds and Connie Fenchel are presenting.
• November 3-6 - NAWL General Counsel Institute, New York City, NY – Join Bates Managing Director Jennifer Cunningham and Bates Expert Sheila Murphy. Bates is a sponsor.

For additional information and practice support, please Contact Us today and follow the links below to Bates Group’s Practice Area pages. Our team is always delighted to take your calls at 503-772-6770.

Consulting and Expert Testimony

Securities and Financial Services Litigation

Data Analyses and Analytics

Bates Compliance

MSBs, FinTech, and Virtual Assets

Regulatory and Internal Investigations

Bates AML and Financial Crimes

Forensic Accounting and Economic Damages

Annuity, Insurance, and Actuarial Services