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Enforcement Warnings in the Age of the Coronavirus

Bates Research  |  03-26-20

Enforcement Warnings in the Age of the Coronavirus

As regulators struggle to adjust to the stress that the coronavirus pandemic is placing on the markets, fraudsters are viewing it as an opportunity. Bates Research takes a look at the latest enforcement warnings and guidance from financial regulators, who are sounding alarms over the added threats that exist in the current volatile environment.

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FINRA Warns Firms on UTMA/UGMA Account Supervision

Compliance and Regulatory Alerts  |  03-25-20

FINRA Warns Firms on UTMA/UGMA Account Supervision

In a Notice issued on February 27, FINRA advised firms of their responsibilities over custodial accounts under the Uniform Transfers to Minors Act and Uniform Gifts to Minors Act (“UTMA/UGMA”) and warned members that adequate compliance requires firms to take into account termination of custodianship and changes of authority. Bates can help your firm respond to UTMA/UGMA account inquiries.

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Financial Regulatory Guidance, Assistance and Relief Roundup

Bates Research  |  03-19-20

Financial Regulatory Guidance, Assistance and Relief Roundup

During the current crisis, the challenge for financial firms and investors is to keep on top of the latest communications from regulators, understand what is actionable and what is not, and ensure that compliance and supervision processes are in place to manage the crisis. Here’s a recap of the latest compliance guidance, regulatory assistance and relief offered by the SEC, FINRA, NFA and MSRB.

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What We Have Learned From Previous Market Downturns and Corrections

Bates News  |  03-18-20

What We Have Learned From Previous Market Downturns and Corrections

Over the course of the last 40 years we’ve seen plenty of ups and downs in the markets. Along the way, Bates Group has helped our clients sort through the complexities and fallout by providing clear and accurate analyses, reporting, and expertise.

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FINRA Postponement of In-Person Arbitration & Mediation Hearings

Bates News, Compliance and Regulatory Alerts  |  03-17-20

FINRA Postponement of In-Person Arbitration & Mediation Hearings

FINRA has announced that, in response to the evolving coronavirus disease 2019 (COVID-19), it “has decided to administratively postpone all in-person arbitration and mediation proceedings scheduled through May 1, 2020. “

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SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19

Compliance and Regulatory Alerts  |  03-16-20

SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19

The SEC’s IAA Release No. 5463 on Friday, March 13 allows for extending the filing (March 30) and delivery (April 30) deadline dates of the Form ADV amendment by 45 days due to COVID-19 and its consequences However, this is not an automatic extension—find out what you MUST do if you cannot meet the filing deadlines

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UPDATE: NSCP Regulatory Interchange with the SEC, DOL & FINRA: July 24, 2020 in Denver, CO.

Events  |  03-16-20

UPDATE: NSCP Regulatory Interchange with the SEC, DOL & FINRA: July 24, 2020 in Denver, CO.

NSCP Regulatory Interchange with the SEC, DOL & FINRA: Moved to July 24, 2020 in Denver, CO. Bates Compliance Managing Director Linda Shirkey is a speaker/moderator.

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Regulators Are Gaining Traction in the Fight Against Elder Financial Exploitation

Bates Research  |  03-12-20

Regulators Are Gaining Traction in the Fight Against Elder Financial Exploitation

Bates Group has been tracking regulatory and enforcement developments on senior financial exploitation. Two recent publications and recent sweeping enforcement actions suggest that the phenomenon is becoming better understood and addressed. FinCEN published a strategic analysis after reviewing SARs filings over a six-year period, and NASAA has issued a statement and legislative update based, in part, on an enforcement analysis showing that the Model Act to Protect Vulnerable Adults is gaining traction. The Department of Justice, FBI and Postal Inspector jointly announced the results of “the largest coordinated sweep of elder fraud cases in history.” Bates Research takes a closer look.

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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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