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Key Takeaways from the SEC’s 2024 Examination and Enforcement Priorities with Bates Group’s Comparison Chart
Image © [Kristina Blokhin] /Adobe Stock

01-23-24

Key Takeaways from the SEC’s 2024 Examination and Enforcement Priorities with Bates Group’s Comparison Chart

The Securities and Exchange Commission’s Division of Examinations publishes its examination priorities report annually to provide insights into its risk-based approach, including the areas it believes present potential risks to investors and the integrity of the U.S. capital markets. Reviewing their roadmap offers vital insights for firms. See our annual chart tracking the Division's changing priorities.

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Expert Insights: The Compliance Risks of Artificial Intelligence

01-19-24

Expert Insights: The Compliance Risks of Artificial Intelligence

Bates Compliance Managing Director Brandi Reynolds offers her insights into the State of Financial Crimes 2024 report published by ComplyAdvantage. Specifically, the survey findings pertaining to Artificial Intelligence-based compliance solutions and the risks these tools can pose for the financial industry professionals who use them.

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FINRA Publishes 2024 Regulatory Oversight Report

01-10-24

FINRA Publishes 2024 Regulatory Oversight Report

FINRA has published its 2024 FINRA Annual Regulatory Oversight Report, formerly known as the Report on FINRA’s Examination and Risk Monitoring Program. Stay tuned for our annual chart and commentary on the reformatted 2024 Report and how its findings may impact your legal, regulatory and compliance matters.

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Consumer Compliance Alert: CFPB Proposes New Rule Covering Digital Payment Apps
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11-21-23

Consumer Compliance Alert: CFPB Proposes New Rule Covering Digital Payment Apps

The CFPB has recently proposed a new rule to define the market for general-use digital consumer payment applications. The proposed market would cover providers of funds transfer and wallet functionalities through digital applications for consumers’ general use in making person-to-person payments for personal, family, or household purposes. Larger participants of this market would be subject to the CFPB’s supervisory authority under the Consumer Financial Protection Act (CFPA).

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