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Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article

Bates News, Compliance and Regulatory Alerts  |  03-09-20

Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article

Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.

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Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies

Bates News, Bates Research, Compliance and Regulatory Alerts  |  03-05-20

Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies

If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you are not alone. Since the outbreak of the coronavirus (also referred to as COVID-19) and more recently, the precipitous volatility of the financial markets, financial firms have been deluged with questions from just about every stakeholder group about how to respond. Regulators are weighing in as well. Bates looks at some of the efforts to prepare and reassure everyone out there.

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Massachusetts Adopts New Fiduciary Rule; SEC Releases Reg BI FAQs;  NAIC Approves Annuity Regulation

Bates Research  |  02-28-20

Massachusetts Adopts New Fiduciary Rule; SEC Releases Reg BI FAQs;  NAIC Approves Annuity Regulation

As the June 30, 2020, date for compliance with the Regulation Best Interest (“Reg BI”) draws near, federal and state regulators are increasingly vocal in warning market participants about how they should treat client investors. Fortunately, the regulators have provided a constant flow of guidance and resources designed to help firms prepare.

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Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6

Events  |  02-27-20

Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6

Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March 5-6  in Washington, D.C. and hear Bates Compliance Managing Director Robert Lavigne on the Vendor Due Diligence Panel.

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Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize

Events  |  02-26-20

Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize

Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure Compliance” Wednesday, March 4, 2020, 11:00 AM EST. 1 Hour.

Now Available On Demand.

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Bates Research  |  02-20-20

FINRA Talks Dispute Resolution - Offers Tips and Advice to Counsel and Arbitrators

On February 3, 2020, the New York County Lawyers Association hosted its “21st Annual FINRA Listens and Speaks” panel. The panel members discussed recent statistics, proposed regulations, and tips for counsel and arbitrators on the agency’s dispute resolution efforts. Bates takes a closer look at what you need to know. 

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“Understanding Reg BI” Webinar 02-27-20 from AI Insight and Bates Compliance - Video Now Available

Events  |  02-20-20

“Understanding Reg BI” Webinar 02-27-20 from AI Insight and Bates Compliance - Video Now Available

David Birnbaum and Linda Shirkey from Bates Compliance join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rules ahead of the June 30 compliance date. 1 hour.

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New OCIE Report Offers Best Practices for Firms to Enhance Cyber Preparedness and Resiliency

Bates Research  |  02-12-20

New OCIE Report Offers Best Practices for Firms to Enhance Cyber Preparedness and Resiliency

On the heels of their 2020 examinations priorities report, OCIE has issued a new report on “Cybersecurity and Resiliency Observations” to reemphasize that cybersecurity is a top examination priority and that registered entities should be assessing their practices and procedures to ensure adequate compliance. Bates Research takes a closer look at what OCIE wants you to know.

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Private Placement Alert: GPB Private Funds Under Scrutiny

Bates Research  |  02-11-20

Private Placement Alert: GPB Private Funds Under Scrutiny

Bates Group is alerting counsel that we are seeing cases filed where firms sold private funds issued by GPB Capital Holdings LLC. It is alleged that firms selling these funds were negligent and failed to perform adequate due diligence when approving these funds for sale, misrepresented and omitted material information when recommending and/or selling these funds to their clients, had conflicting interests in selling the GPB Capital Funds, negligently supervised the sale of these funds and breached the fiduciary duty owed to their clients. 

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Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020

Events  |  02-06-20

Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville, TN. Sponsored by TrustCore.

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