Bates News, Bates Research | 09-02-22
2022 Summer Roundup – What You Missed, What Is Happening This Fall
Bates In the News:
Bates Industry Articles and Alerts:
- 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
- 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
- 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.
Join us this Fall!
- September 7th - ACAMS Chapter Meeting: Cryptocurrency from A to Z webinar – Brandi Reynolds, Managing Director, AML & Compliance, is speaking.
- September 13th - Southeast Women in Finance (SWIFs) Virtual Lunch and Learn, Fireside Chat: Crypto in the News – Brandi Reynolds is speaking.
- September 19th - SIFMA C&L Regional Seminar, Charlotte, NC – Meet up with Bates Leaders and Experts.
- September 19-22nd - MTRA Annual Conference, Fort Worth, TX – Meet Bates AML Expert and Strategic Advisor Connie Fenchel.
- September 30th - FSDA Industry Outreach Program , Boca Raton, FL – Join Jennifer Stout, Bates CEO and FSDA President. Bates is a diamond sponsor.
- October 5-7th - South Carolina Blockchain Conference , Charleston, SC – Brandi Reynolds is speaking.
- October 17-19th - 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 10th - IAMTN Summit 2022, London, UK – Bates Advisor and Consultant Rob Ayers is speaking.
- October 10-13th - 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.