News -

Bates Research  |  10-16-15

More Elder Investor Protections

Since we last blogged about rules for elder investor protection (or, more generally, protection for those with diminished capacity), there have been a few new developments.

Detail

Bates News  |  10-14-15

Alison Jimenez presents on two panels in Las Vegas

Alison Jimenez, Bates Group Affiliate Expert, presented on two panels at the Association of Certified Anti-Money Laundering Specialists ("ACAMS") annual conference in Las Vegas.

Detail

Bates Research  |  10-09-15

Pension Buyout Exception Ends

We don't often blog about the IRS, but a recent announcement they made will dramatically impact pension fund operations within the United States.

Detail

Bates Research  |  10-02-15

Supervision of Automated Trading Systems

Yesterday the SEC announced an $8 million settlement with Latour, a trading subsidiary of Tower Research, as a result of its failure to detect and control a coding error in its automated trading programs.

Detail

Bates News  |  09-25-15

Bates Group LLC honored as a Best Securities Litigation Consulting Firm

Bates Group LLC is honored to have voted a Best Securities Litigation Consulting Firm by the 2015 Readers of the New York Law Journal.

Detail

Bates Research  |  09-25-15

FINRA Proposes Elder Investor Rules

FINRA has approved a new rulemaking item aimed at providing more protections for elder investors.

Detail

Bates News  |  09-24-15

Bates Group LLC Launches RegTelligenceā„¢

Bates Group LLC Launches RegTelligence™ - The number one source for intelligence on financial industry regulator behavior.

Detail

Bates Research  |  09-18-15

SEC Clawback Rule

The SEC proposed another rule this summer, satisfying the last of their additional duties under the Dodd-Frank Act.

Detail

Bates Research  |  09-04-15

U.S. Economic Growth, A Tale of Two Cities?

On Wednesday, September 2, the Commerce Department released quarterly GDP data by state for 2005-2014. Interestingly, the data portrays the U.S. economy as that of A Tale of Two Cities, with only 16 of the 50 states outperforming the U.S. economy as a whole.

Detail

Bates Research  |  08-28-15

China Cuts Interest Rates

News from China continues to dominate financial headlines and to upend the stability of domestic markets here in the U.S.

Detail

Page 37 of 46 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