News - Industry News

SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation

Bates News, Compliance and Regulatory Alerts, Industry News  |  10-03-19

SEC Turns Up Heat on Share Class Selection Disclosure, Now Focusing on Other Forms of Compensation

The SEC Enforcement Division is continuing to concentrate on firms that did not self-report by the deadline of the SEC’s Share Class Selection Disclosure Initiative, and is now focusing on revenue-sharing payments and other forms of representative compensation or cost offsets. Bates takes a look at recent SEC actions and settlements with comments and recommendations by Securities Litigation and Regulatory Enforcement Managing Director Alex Russell.

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

Bates News, Events, Industry News  |  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, Industry 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, Industry 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, Industry 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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Expert Spotlight: Greg Kyle Quoted by CBS News

Bates News, Industry News  |  08-16-19

Expert Spotlight: Greg Kyle Quoted by CBS News

Bates Group director and expert Greg Kyle was recently interviewed by CBS News for their MoneyWatch feature.

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Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Bates News, Industry News  |  08-14-19

Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA Galaxy Stadium. Bates is a proud co-sponsor of this year's event.

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Introducing Bates Group’s Managed Document Review Services

Bates News, Industry News  |  08-09-19

Introducing Bates Group’s Managed Document Review Services

Bates Group’s new Managed Document Review services enable organizations to leverage the advantages of highly experienced review specialists and technology-enabled e-discovery review solutions allowing you to focus your time and effort on the high-value tasks your legal team was hired to perform.

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A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019

Bates News, Industry News  |  07-23-19

A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019

A. Christine Davis, Bates Group's Director of Forensic Accounting and Financial Crimes, is on the faculty of Practising Law Institute's CLE program "Basics of Accounting for Lawyers 2019," taking place July 23-24, 2019 in San Francisco. The two-day program reviews how some common accounting concepts may emerge in legal work, and what lawyers should consider when encountering them. 

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Is the Increase in Option-Related Cases Affecting Your Firm and Clients?

Bates News, Industry News  |  07-19-19

Is the Increase in Option-Related Cases Affecting Your Firm and Clients?

Bates Group is alerting counsel that we are seeing an uptick in option-related cases where firms offered their clients strategies to increase the yield in their investment portfolio, often involving options trading in order to earn premium income to enhance a portfolio’s regular returns. Bates staff and experts have provided both consulting and testimony services in matters involving options trading within a client account.

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