News – Bates News

Bates News  |  11-01-21

Bates Compliance Director Rory O’Connor Quoted in ThinkAdvisor Article on the Surge in State-to-SEC Registrations

Bates Compliance Director Rory O'Connor was quoted in a recent ThinkAdvisor Trendspotter article on the surge in state-to-SEC registrations.

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Bates News  |  10-20-21

Bates Group Response to COVID-19 (Updated)

As the news and impact of COVID-19 continue to evolve, Bates Group continues to promote the health and safety of our employees, consultants, and clients, as well as ensure uninterrupted operations during this crisis. Read the letter from Bates CEO Jennifer Stout. 

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Bates News  |  10-12-21

Bates Group Acquires CorCom LLC, Expands BSA/AML/OFAC Compliance Services for Fintech, Cryptocurrency, MSBs, Banking Firms

Bates Group is excited to announce the acquisition of CorCom, a top AML compliance consulting firm based in Spartanburg, SC. 

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Bates News  |  10-01-21

Bates Compliance Welcomes New Managing Director Kurt Wachholz

Bates welcomes Kurt Wachholz as a new Managing Director of Bates Compliance. With over 30 years of financial industry experience serving in a range of financial service firms, he works closely with firm officers to identify regulatory obligations, compliance risks, and program challenges.

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Bates News  |  09-26-21

Oregonian Names Bates Group a Winner of the Oregon and Southwestern Washington Top Workplaces 2021 Award

Bates Group was awarded a Top Workplaces 2021 honor by The Oregonian Top Workplaces.

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Bates News  |  09-09-21

Now Available: ESG for CCOs by Bates Compliance Managing Director Hank Sanchez in NSCP Currents

Bates Compliance Managing Director Hank Sanchez's new article, "ESG – What it is and How CCOs Can Get Ahead of the Issues at Their Firms" (first appearing in the August 2021 issue of NSCP's Currents publication), provides timely and important insight for CCOs and firms tasked with addressing ESG. Read the reprint here.

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Bates News  |  09-02-21

Bates 2021 Summer Roundup: Catch Up On What You Missed and What’s Happening Going Forward

While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this Fall.

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Bates News  |  07-19-21

Bates in the News: Hank Sanchez Quoted in ThinkAdvisor article

Bates Compliance Managing Director Hank Sanchez was recently quoted in a ThinkAdvisor article concerning the current shift in IA fee tructures and business models.

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Bates News  |  07-14-21

Bates Welcomes New Managing Director Rhonda Davis

Bates Group is proud to welcome new Managing Director Rhonda Davis and Cobia Compliance to our AML and Compliance practices.

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Bates News  |  07-07-21

Bates Welcomes Mary Simonson to Bates Compliance

Bates welcomes Mary Simonson as a new Managing Director of Bates Compliance. A seasoned compliance professional with more than 30 years of experience, she brings a substantial background in compliance, supervision, and risk management leadership roles.

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