News -

Personal Liability for Compliance Professionals III

Bates Research  |  12-14-16

Personal Liability for Compliance Professionals III

This is the final installment in a three-part series discussing personal liability for compliance professionals. This week we will take a look at the impact this is having on the industry and the steps some CCOs are taking to minimize their personal liability.

Detail
Meet Our New Experts

Bates News  |  12-12-16

Meet Our New Experts

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Detail
Personal Liability for Compliance Professionals II

Bates Research  |  12-07-16

Personal Liability for Compliance Professionals II

This is the second installment in a three-part series discussing personal liability for compliance professionals. This week we will take a look at regulators’ perceptions of their enforcement activity and what this trend might mean for compliance professionals moving forward.

Detail
Personal Liability for Compliance Professionals

Bates Research  |  11-30-16

Personal Liability for Compliance Professionals

This is the first installment in a three-part series discussing personal liability for compliance professionals. This week we will look at the growing trend of regulatory enforcement activity against compliance professionals and the perception within the compliance industry of increased personal risk. 

Detail
How Will The Trump Administration Address Securities Regulation?

Bates Research  |  11-16-16

How Will The Trump Administration Address Securities Regulation?

President elect Donald Trump has promised to overhaul all aspects of Federal regulation within the United States, and as a result there has been a great deal of speculation as to what that might mean for securities regulation, oversight, and especially enforcement for the next four years.

Detail
Andrew Daniel to Speak at 2016 St. Louis Securities Symposium

Bates News  |  11-15-16

Andrew Daniel to Speak at 2016 St. Louis Securities Symposium

Bates Group is pleased to announce that Andrew Daniel, Bates Group Director, Securities Litigation Expert and Consultant, will be a featured speaker at the 2016 Securities Symposium, sponsored by the Greensfelder law firm and The Bar Association of Metropolitan St. Louis, on Wednesday, November 16, 2016.

Detail
Regulators Preview 2017 Priorities at SIFMA’s 2016 New York Regional Conference

Bates Research  |  11-09-16

Regulators Preview 2017 Priorities at SIFMA’s 2016 New York Regional Conference

While we are still enjoying the fall weather (and now processing the post-election news), securities regulators are busy thinking about critical 2017 priorities. Regulators from the FINRA, SEC and CFTC all previewed their 2017 priorities for attendees at SIFMA’s 2016 NY Regional Conference, held last Wednesday, November 2nd, at the New York Marriott Marquis.

Detail
SIGTARP Proposes Crime And Fraud Certification For Top Executives

Bates Research  |  11-02-16

SIGTARP Proposes Crime And Fraud Certification For Top Executives

On October 26th, the Special Inspector General for the Troubled Asset Relief Program (“SIGTARP”), Christy Goldsmith Romero, issued her fourth quarter 2016 report in which she proposed a reform designed to “bring accountability” to high-level executives by requiring a crime and fraud certification that is modeled after the annual Sarbanes-Oxley certification requirements.

Detail
Bates Expert Joe Thomas Quoted by Ignites, a Financial Times Service

Bates News  |  10-31-16

Bates Expert Joe Thomas Quoted by Ignites, a Financial Times Service

Joseph “Joe” Thomas, Principal and Expert with Bates Group, is quoted in an Ignites (FT's Mutual Funds industry publication) article on the new proposed FINRA rule concerning vulnerable and elderly clients.  Click to read the full story.

Detail
Meet Our New Experts

Bates News  |  10-26-16

Meet Our New Experts

Bates Group is proud to announce our new Experts and Consultants. Click below for more information or visit our expert search page.

Detail

Page 31 of 47 pages.

Alert

Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group
Automat:ee