News – Bates News

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, Bates Research  |  09-23-21

Regulators Turn Up the Heat on SPACs with More Enforcement and Potential Rulemaking

Regulators have moved from statements to guidance to alerts and now to enforcement and rulemaking in their efforts to gain some degree of control over the exuberant Special Purpose Acquisition Company (“SPACs”) marketplace. As highlighted in our white paper, published in late April 2021, the SEC had been prolific in stating its concerns about SPACS.

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Bates News, Bates Research  |  09-15-21

FINRA Issues Updated Vendor Supervision Guidance, Seeks Feedback on Cloud Computing; Warns of New Phishing Scam

FINRA remained busy through the end of Summer with several important regulatory actions. New actions included issuing updated guidance on supervision of third-party vendors, requesting feedback on a report by the Office of Financial Innovation (“OFI”) concerning broker-dealer approaches to cloud computing, and raising additional alarms about a phishing campaign using fraudulent FINRA email domains.

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Bates News, Bates Research  |  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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