News - Bates News

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.

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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 Ploetz, Paul Horn and Debra Vaughan.

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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.

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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.

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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.

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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.

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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.

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Bates Welcomes Our Newest Experts and Consultants

Bates News  |  09-23-19

Bates Welcomes Our Newest Experts and Consultants

Bates is proud to introduce our newest experts and consultants: Donna Bartlett, Frank Giorgio, Richard Rogoff and William Webb.

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Bates Managing Director Hank Sanchez Publishes New Reg BI Article in NSCP Currents

Bates News  |  09-05-19

Bates Managing Director Hank Sanchez Publishes New Reg BI Article in NSCP Currents

Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and Expert Consultant Hank Sanchez, Esq. Look for Hank at the 2019 NSCP National Conference, October 21-23 at the Hilton Baltimore. 

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Bates Expands Financial Crimes Roster with Managing Director Dennis Greenberg

Bates News  |  09-04-19

Bates Expands Financial Crimes Roster with Managing Director Dennis Greenberg

Bates Group welcomes Dennis Greenberg as the new Managing Director of Business Development for Bates AML and Financial Crimes.

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