News - Industry News

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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Regulation Best Interest Now Published in Federal Register: What Does This Mean for Your Firm?

Compliance and Regulatory Alerts, Industry News  |  07-16-19

Regulation Best Interest Now Published in Federal Register: What Does This Mean for Your Firm?

The formal publication by the Federal Register on July 12, 2019, of Regulation Best Interest triggers final effective and compliance dates for the rulemaking package. 

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Join Bates Group at the SIFMA Regulation Best Interest Seminar

Bates News, Industry News  |  07-09-19

Join Bates Group at the SIFMA Regulation Best Interest Seminar

Bates Group is a proud sponsor of the SIFMA Regulation Best Interest Seminar on Wednesday, July 10 in Washington, D.C. Speakers will address the final Reg BI rule, form CRS, and the broader regulatory landscape. Look for financial services industry leader and Bates Senior Compliance Consultant Jerry Baker at the seminar!

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SEC Adopts Regulation Best Interest

Compliance and Regulatory Alerts, Industry News  |  06-05-19

SEC Adopts Regulation Best Interest

By a 3-to-1 margin, the SEC voted to approve its long-debated Regulation Best Interest at an open meeting today. Also approved was a new interpretation of the “solely incidental” provision of the Investment Advisers Act of 1940.

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Bates Welcomes Our Newest Experts and Consultants

Bates News, Industry News  |  04-17-19

Bates Welcomes Our Newest Experts and Consultants

Bates is proud to introduce four new experts and consultants: Jennifer Bergenfeld, Pamela O’Neill, Matthew Sekerke and Phil Swatzell.

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FINRA Is Scrutinizing UTMA/UGMA Accounts

Bates News, Compliance and Regulatory Alerts, Industry News  |  04-11-19

FINRA Is Scrutinizing UTMA/UGMA Accounts

In June 2018, Bates Group published an article reporting on deficiencies identified by FINRA in its exam findings which may trigger further scrutiny. In that article we noted FINRA’s focus on the Uniform Transfer to Minors Act (UTMA), among other exam topics. That scrutiny has now arrived in the form of FINRA inquiries/investigations into how accounts for UTMA and Uniform Gifts to Minors Act (UGMA) accounts are handled at financial services firms.

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