News - Industry News

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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Spotlight: Q&A with R. Gerald (“Jerry”) Baker, Bates Group Senior Compliance Consultant

Bates News, Bates Research, Industry News  |  04-05-19

Spotlight: Q&A with R. Gerald (“Jerry”) Baker, Bates Group Senior Compliance Consultant

Bates Research interviews our most senior experts to get their perspective on the latest regulatory and compliance concerns affecting clients today. We sat down with R. Gerald (“Jerry”) Baker, a Consultant with Bates Compliance Solutions, and an expert with over 45 years of financial services and compliance experience, and asked him to share his observations on some of the current challenges confronting broker dealers and RIAs.

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Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop

Bates News, Industry News  |  04-02-19

Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop

Bates Group Director Joseph “Joe” Thomas, Senior Investor Expert, will be speaking at the SIFMA Senior Investor Protection Workshop, April 3rd at Edward Jones in Tempe, AZ, on the panel “Protecting Your Senior Clients: Prevention, Identification and Action.” Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

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Bates News, Industry News  |  03-12-19

Bates News and Events This Week

This week at Bates Group: CEO Jennifer Stout is recognized by the Florida Securities Dealers Association in their March Member Spotlight, Managing Director Alex Russell is quoted in an Investment News article about 529 plan costs, and Susan Harper will be hosting a chat with the Attorney General of New York, Letitia James, at the NYSBA Women in Law Section's inaugural Trailblazer event on March 13, 2019. Bates Group will also be exhibiting at the 2019 IAA Compliance Conference March 14-15 in Washington, D.C.

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Bates Group Welcomes New Managing Director Hank Sanchez

Bates News, Industry News  |  02-11-19

Bates Group Welcomes New Managing Director Hank Sanchez

Bates is proud to welcome Hank Sanchez, Esq. as a Managing Director. Hank is a seasoned compliance and legal professional as well as a former regulator with both the SEC and FINRA.

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FINRA Announces 2019 Regulatory and Examination Priorities

Bates News, Bates Research, Industry News  |  01-22-19

FINRA Announces 2019 Regulatory and Examination Priorities

FINRA has announced their regulatory and examination priorities letter for 2019.

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Bates Group Welcomes New Expert and Consultant Sheila Murphy

Bates News, Industry News  |  01-18-19

Bates Group Welcomes New Expert and Consultant Sheila Murphy

Bates is proud to welcome Sheila Murphy as a new Expert and Consultant. Ms. Murphy brings over 30 years of legal, insurance, regulatory and retail litigation experience. Prior to joining Bates, Ms. Murphy served MetLife in various legal roles.

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Bates Group at the 2019 NYSBA Annual Meeting

Bates News, Industry News  |  01-14-19

Bates Group at the 2019 NYSBA Annual Meeting

Bates is proud to be a Bronze Sponsor of the NY State Bar Association’s Women In Leadership Section Symposium at the 2019 Annual Meeting, Tuesday, January 15 in New York City. Bates Group NY/NJ Managing Director Susan Harper, Esq. will give the welcoming remarks and co-chair a panel. On Wednesday, January 16th, Susan will also participate on the NYSBA Presidential Summit.

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