News - Bates News

Bates Expert William Jannace Quoted in Investment News Article

Bates News  |  01-15-20

Bates Expert William Jannace Quoted in Investment News Article

Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News.

Detail
Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.

Bates News, Compliance and Regulatory Alerts  |  01-06-20

Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.

Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston, Texas. Veteran compliance leader and TARI Founder & President Linda Shirkey will join Bates Group, along with Shelley Dragon, TARI’s director of client service, as members of the Bates Compliance team. The acquisition further expands Bates Compliance with greater access and resources to service Registered Investment Advisers (RIAs), as well as private equity and hedge fund firms across the United States.

Detail
Reg BI Countdown – Is Your Firm Ready?

Bates News, Compliance and Regulatory Alerts  |  12-19-19

Reg BI Countdown – Is Your Firm Ready?

Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Bates Compliance helps firms achieve Reg BI readiness.

Detail
Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along

Bates News, Compliance and Regulatory Alerts  |  11-15-19

Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along

FINRA has announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Learn about how Bates Compliance and our Reg BI Readiness Workshops can support your firm’s SEC Reg BI implementation efforts.

Detail
Bates Welcomes Our Newest Experts and Consultants

Bates News  |  11-12-19

Bates Welcomes Our Newest Experts and Consultants

Bates Group is proud to introduce our newest experts and consultants: Gontran de Quillacq, Caryn Miller, Michael Dorsey, Amy Ott, Mark Filler, Tali Taft, Paul Horn and Debra Vaughan.

Detail
This Week at Bates

Bates News, Events  |  11-11-19

This Week at Bates

Bates Group Leaders and Experts will be appearing at several industry events around the country this week.

Detail
Bates Managing Director Hank Sanchez Quoted in The Wall Street Journal

Bates News  |  11-07-19

Bates Managing Director Hank Sanchez Quoted in The Wall Street Journal

Bates Managing Director and Expert Consultant Hank Sanchez is quoted in a new article from The Wall Street Journal.

Detail
Bates Compliance’s Reg BI Countdown Kick-Off Begins!

Bates News, Compliance and Regulatory Alerts  |  10-18-19

Bates Compliance’s Reg BI Countdown Kick-Off Begins!

To support your Reg BI implementation efforts, Bates Compliance is rolling our Reg BI Countdown with action items to keep your compliance team on track as the June 30, 2020 implementation deadline approaches.

Detail
Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference

Bates News, Events  |  10-01-19

Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at the 2019 NSCP National Conference October 23rd.

Detail
Bates Managing Director Robert Lavigne Quoted in Investment News Article

Bates News  |  09-27-19

Bates Managing Director Robert Lavigne Quoted in Investment News Article

Bates Compliance Managing Director Robert Lavigne is quoted in a new article from Investment News.

Detail

Page 1 of 14 pages.

Alert

Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group
Automat:ee