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Events  |  07-21-20

Upcoming CLE Webinar 7/30: Anti-Money Laundering and Fraud Risks In the Age of COVID-19

The COVID-19 pandemic has created new compliance and regulatory risks for financial institutions. New avenues for money laundering have sprung up, presenting challenges for financial institutions facing pandemic-related resource constraints. Join Bates Group and Orrick Herrington & Sutcliffe LLP for this CLE webinar which will examine how financial institutions can adapt their AML programs to the new financial environment and regulatory expectations. Thursday, July 30, 2020 at 12 p.m. Eastern.

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Bates Research  |  07-16-20

New OCIE, FinCEN Alerts Emphasize Vigilance Against Ransomware, Imposter Scams, Money Mule Schemes

In the past week, the SEC Office of Compliance Inspections and Examinations (OCIE) and the Financial Crimes Enforcement Network (FinCEN) warned financial institutions to guard against specific and increasingly prevalent types of fraud against consumers. These activities have been uncovered through examinations, suspicious activity reports (SARs), law enforcement information and public reporting. OCIE and FinCEN’s alerts follow other federal and state reports urging firms to increase vigilance against similar crisis-related misconduct.

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Events  |  07-15-20

Virtual Event: NSCP 2020 Midwest Regulatory Interchange

The NSCP 2020 Midwest Regulatory Interchange with the SEC, DOL and FINRA is taking place on July 24, 2020. Bates Compliance Managing Director Linda Shirkey will be speaking on the SEC Discussions panel at 9 a.m. (Mountain).

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Events  |  07-13-20

Compliance Roundtable 7/15: Assessing, Fine-Tuning and Improving Your Business Continuity Plan

Join this virtual Compliance Roundtable on Wednesday, July 15, 2020, where our industry experts and guests will address Business Continuity Plan (BCP) design and implementation, including the unanticipated issues, gaps, and shortcomings that companies may have endured as a result of the COVID-19 pandemic.

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Compliance and Regulatory Alerts  |  07-02-20

SEC Issues “Private Funds Adviser” Compliance Risk Alert

Investment advisers that manage private equity or hedge funds (“private funds advisers”) should review and enhance their compliance procedures to protect investors from (i) improper fees and expenses, (ii) conflicts of interest that may exist between the adviser and the fund, and (iii) the misuse of material non-public information (MNPI). That is the message communicated by an OCIE Risk Alert, published June 23, 2020. The Alert identified compliance deficiencies observed by SEC staff during recent examinations of private fund advisers.

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Compliance and Regulatory Alerts  |  06-30-20

SEC Approves FINRA Amendments on Suitability and Non-Cash Compensation Rules

The SEC has approved final FINRA amendments to its rules on suitability and non-cash compensation. The final amendments ensure that FINRA’s rules line up with the SEC’s Regulation Best Interest (Reg BI). Read our review of the final rule changes, which became effective today, June 30th, 2020, the same date as Reg BI.

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Bates News, Bates Research  |  06-26-20

Bates Practice Leadership Insights: Regulatory Investigations Now and on the Horizon

Bates continues our practice leadership conversations this week with Alex Russell, Managing Director of Bates’ White Collar, Regulatory and Internal Investigations Practice. Alex’s team supports corporations, financial services firms, law firms and regulators by bringing technical, big data analytics and managerial expertise to a variety of disputes and investigations. We asked Alex about investigations, big data and other regulatory issues now and possibly on the horizon. Get the details in today's Bates Practice Leadership Insights.

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Bates Research  |  06-18-20

FINRA Special Alert Offers Observations on COVID-19 Remote Work and Supervisory Practices

FINRA issued Special Alert Notice 20-16 to share COVID-19-related off-site transition and supervisory practice information. The information was derived from recent FINRA discussions with small, mid-sized and large firms. Bates has been tracking and reporting on COVID-19-related guidance since the pandemic began. In this article, we take a closer look at FINRA’s observations on firm efforts to transition to remote work environments and to supervise remote work activities.

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Bates News  |  06-15-20

Bates Media Mentions: Bob Lavigne and Hank Sanchez Quoted in Investment News and AdvisorHub articles

Robert Lavigne and Hank Sanchez are both quoted in the Investment News cover article, “The Sound of Silence,” concerning Reg BI and Form CRS, published on June 1, 2020. Mr. Lavigne is also quoted in a June 4, 2020 AdvisorHub article.

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Bates News  |  06-12-20

Bates Group Response to COVID-19 (Updated)

As the news and impact of COVID-19 continue to evolve, Bates Group continues to promote the health and safety of our employees, consultants, and clients, as well as ensure uninterrupted operations during this crisis. Read the letter from Bates CEO Jennifer Stout. 

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