Contact Bates Today

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.

Get My Solution Started

Bates Group Logo

We’re looking for talent! Interested in a career at Bates Group? Visit our Careers page.

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.

Read More

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.

Read More

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. 

Read More

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.

Read More

10-26-16

FINRA Issues Proposed Rule To Protect Senior Investors

Last week we focused on the important topic of elder and diminished capacity investors through a Q&A with elder investor expert Joe Thomas. Our timing couldn’t have been better, because FINRA announced (on the same morning our post went live) that it has sent a proposed new rule and rule amendments to the SEC that would allow for better protection of senior investors.   

Read More

10-13-16

Quantifying a “Culture Of Compliance”

We’ve often been asked the question, “Which securities product causes the most enforcement actions?” To formulate our answer, we undertook a deep analysis of the data available to us in our RegTelligence® database.

Read More