News & Events –

With crypto services now reaching a mass audience, how do firms scale their compliance efforts? Bates Managing Director Brandi Reynolds recently joined ComplyAdvantage for the latest episode of their Uncover podcast series to explore this question. Hear Brandi’s insights how companies are scaling AML/CFT programs in the fast evolving crypto world.

Bates Group welcomes new testifying and consulting experts

Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black Americans in the fields of Finance, Banking, and Investing.

Bates Group is proud to welcome Rob Ayers as a Business Development and Consulting Expert with our Money Services Business, Fintech and Cryptocurrency practice, supporting client engagement and new business outreach.

Bates Compliance Managing Director Henry “Hank” Sanchez, Esq., talks with Carlos Guillen from BasisCode Compliance about what you should consider when outsourcing compliance programs and also discusses key technology compliance solutions and the new trends we will see in 2022.

Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations.

As the news and impact of COVID-19 continue to evolve, Bates Group continues to promote the health and safety of our employees, consultants, and clients, as well as ensure uninterrupted operations during this crisis. Read the letter from Bates CEO Jennifer Stout. 

Bates Group is excited to announce the acquisition of CorCom, a top AML compliance consulting firm based in Spartanburg, SC. 

Bates welcomes Kurt Wachholz as a new Managing Director of Bates Compliance. With over 30 years of financial industry experience serving in a range of financial service firms, he works closely with firm officers to identify regulatory obligations, compliance risks, and program challenges.

Bates Group was awarded a Top Workplaces 2021 honor by The Oregonian Top Workplaces.

Bates Compliance Managing Director Hank Sanchez's new article, "ESG – What it is and How CCOs Can Get Ahead of the Issues at Their Firms" (first appearing in the August 2021 issue of NSCP's Currents publication), provides timely and important insight for CCOs and firms tasked with addressing ESG. Read the reprint here.

While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this Fall.

Bates Compliance Managing Director Hank Sanchez was recently quoted in a ThinkAdvisor article concerning the current shift in IA fee tructures and business models.

Bates Group is proud to welcome new Managing Director Rhonda Davis and Cobia Compliance to our AML and Compliance practices.

Bates welcomes Mary Simonson as a new Managing Director of Bates Compliance. A seasoned compliance professional with more than 30 years of experience, she brings a substantial background in compliance, supervision, and risk management leadership roles.

Bates Compliance Managing Director Linda Shirkey is quoted in a June 15, 2021 article on ThinkAdvisor, "Excited About SEC's New Ad Rule? Not So Fast." She is also quoted in a Risk.net article on family office regulation in light of the Archegos collapse.