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11-15-23
Join us for the Annual Greensfelder Securities Symposium November 15th. Bates Cybersecurity expert Patrick Cox will be speaking on the AI panel.
11-14-23
Join Bates at CrossTech World 2023, November 14-16, 2023 in Hollywood, Florida
11-09-23
With 2023 wrapping up soon, Bates takes a look at what is and is not trending in matters resolved through FINRA arbitration through the first nine months of 2023.
11-08-23
Bates Expert Patrick Cox will be speaking on IBDC's upcoming Cybersecurity Webinar November 8th, 2023.
11-07-23
FINRA is continuing its focus on eligible customers receiving Rights of Reinstatement (“ROR”) benefits where appropriate. Read our full alert for a look at FINRA's scrutiny into ROR and how our team’s deep experience in this area can help your firm.
11-03-23
Join Bates leaders Jennifer Stout and Hank Sanchez at the SIFMA C&L Forum, Friday, November 3rd in St. Petersburg, FL. Co-hosted by the FSDA.
11-02-23
Bates is a proud sponsor of the Florda Securities Dealers Association's (FSDA) 90th Anniversary Celebration, Thursday, November 2, 2023.
10-30-23
State regulators are encouraging individuals and businesses to start preparing now for the Nov. 1 start of Nationwide Multistate Licensing System (NMLS) annual license renewal.
10-22-23
Bates Director Michael Lindemann will be at the Money 20/20 conference Oct. 22-25 in Las Vegas.
10-17-23
Bates is proud to be a sponsor of the 5th annual Raymond James Valor golf outing, Saturday, October 28th.
10-16-23
Join Bates at the NSCP National Conference, October 16-18, 2023 in Dallas, TX. We are a proud sponsor of this year's event.
10-16-23
The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report. Stay tuned for our annual commentary and chart, coming soon, on the SEC's 2024 priorities and how they may impact your legal, regulatory and compliance matters.
10-06-23
Bates is pleased to announce the return of Chris Riper as Managing Director for complex litigation and regulatory matters.
10-02-23
Join Bates Group at ACAMS 2023 - The Assembly Las Vegas, October 2-4 at the ARIA Resort & Casino.
09-26-23
Financial institutions play a vital role in detecting and reporting suspicious activity that may be related to financial crimes. The Financial Crimes Enforcement Network (FinCEN) issued recent alert to highlight a prominent virtual currency investment scam known as “pig butchering.” The alert points to several red flags that financial institutions should look out for to detect suspicious activity related to this scam.
09-26-23
Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates in London at the 2023 Innovation in Payments and Remittance (IPR) Global Conference, taking place live at Convene in London, UK, as well as on a dedicated online events platform, from 26-27 September 2023.