Events | 02-05-20
Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered broker-dealers, SEC-registered investment advisers, and dual registrants on Tuesday, February 11, 2020, from 2:30 – 5 p.m. at the UT McCombs School of Business’ Center for Enterprise and Policy Analytics in Austin, Texas.
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Bates Research | 02-05-20
The Treasury Department’s Office of Comptroller of the Currency (OCC) issued an Annual Report to Congress highlighting the past year’s BSA and AML efforts and setting out strategic priorities and policy initiatives for the new year. The Comptroller says he wants to reduce the burden of BSA and AML compliance, while protecting the financial system. Bates Research takes a closer look at the OCC report and other recent AML-related developments.
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Events | 01-29-20
Bates AML and Financial Crimes Managing Director Edward Longridge will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020 in New York, NY. Bates Group is proud to be a returning sponsor and exhibitor at this year's event.
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Bates News | 01-28-20
Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services professional with over 20 years of experience in broker-dealer branch office management, risk and supervision, suitability, operations, sales support, Human Resources and customer communications. A former Director at UBS in New Jersey and New York City and former Vice President at the Merrill Lynch Fifth Avenue flagship office, Ms. Cunningham comes to Bates from another consulting firm, where she provided expertise in support of broker-dealer litigation and customer complaint matters, prepared FINRA broker-dealer New Member Applications, and served as lead project manager for specialized regulatory and compliance consulting retentions.
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Bates Research, Compliance and Regulatory Alerts | 01-23-20
In his cover note accompanying FINRA’s annual Risk Monitoring and Examination Priorities letter, FINRA President and CEO Robert Cook reminded members of significant enhancements to the examination program going forward. Bates Research has analysis, commentary and highlights of FINRA’s continuing and emerging concerns, along with our 2020 FINRA chart, which keeps track of articulated priorities from year to year.
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Bates Research, Compliance and Regulatory Alerts | 01-22-20
Understand what Reg BI requires now — and what more you must implement before the final deadline. Download our new white paper: "SEC’s Regulation Best Interest Perspectives on Firm Compliance."
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Bates Research, Compliance and Regulatory Alerts | 01-16-20
The SEC Office of Compliance Inspections and Examinations ("OCIE") set out their 2020 examinations priorities in an annual report issued last week. The report reminds registered entities that all its priorities are within the SEC’s mandate to protect investors, facilitate capital formation, and maintain fair, orderly and efficient markets. The report is, in effect, a notice to the industry and chief compliance officers to address potential vulnerabilities in compliance programs and practices in order to minimize retail investor and market risks. Bates Research takes a closer look.
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Bates News | 01-15-20
Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News.
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Events | 01-10-20
Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020 in New York, NY.
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Bates Research, Compliance and Regulatory Alerts | 01-10-20
FINRA has announced their regulatory and examination priorities for the upcoming year. New for this year is a focus on Regulation Best Interest (Reg BI) and Form CRS (Client Relationship Summary).
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