Bates News - 09-19-18

Bates In the Media – Spotlight on Managing Director Bob Lavigne

Bates In the Media – Spotlight on Managing Director Bob Lavigne

Bates Managing Director of Compliance Solutions Robert “Bob” Lavigne was quoted in Investment News on September 15, 2018 in an article entitled “SEC Advice Rule Contains a Huge Hole.” The report, which appeared online and in print, addresses the loophole in the SEC’s proposed Regulation Best Interest as it applies to dually registered broker-dealers, RIA firms and professionals.

Read the article here.

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