News – Bates News

Bates News  |  05-09-22

Bates Group Expands its MSB, Fintech and Cryptocurrency Practice with Michael Lindemann and Edel Gonzalez - Focusing on AML, Compliance, MSB and MTL & Renewals

Bates Group welcomes Michael Lindemann, Director and Certified Anti-Money Laundering Specialist, and Edel Gonzalez, Senior Consultant and Licensing & Compliance Specialist, to our MSB, FinTech and Cryptocurrency Practice. 

Bates News  |  03-29-22

Podcast: Bates’ Brandi Reynolds Speaks on “How to Scale an AML/CFT Program for Crypto”

With crypto services now reaching a mass audience, how do firms scale their compliance efforts? Bates Managing Director Brandi Reynolds recently joined ComplyAdvantage for the latest episode of their Uncover podcast series to explore this question. Hear Brandi’s insights how companies are scaling AML/CFT programs in the fast evolving crypto world.

Bates News  |  03-10-22

Tony Ogden Profiled in Vanguard Magazine

Bates Group's Chief legal and administrative officer Tony Ogden is the subject of a recent profile in Vanguard Law Magazine. Read the full article online at vanguardlawmag.com. Congratulations Tony!

Bates News  |  02-17-22

Meet Our Consulting and Testifying Experts

Bates Group welcomes new testifying and consulting experts (clockwise from top L):

• Brooke J. Billick - Compliance, Investment Advisory
• Jennifer L. Cunningham, CAMS - Broker-Dealer Supervision & Compliance, Suitability (Now Available as a Testifying Expert)
• Bradley S. Goldfarb, CIMA - Suitability, Asset Allocation, Risk Assessment
• Paul Nelson - Corporate Governance, Trusts, AML, Banking and Nonbank Financial Services Providers Regulation, Legislation

• Laura Grillet-Aubert - Regulatory Exam Management, Investment Advisory, Fiduciary Compliance

Bates News  |  02-02-22

Celebrating Black History Month 2022

Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black Americans in the fields of Finance, Banking, and Investing.

Bates News  |  01-28-22

Bates Group Welcomes New Consulting Expert Rob Ayers

Bates Group is proud to welcome Rob Ayers as a Business Development and Consulting Expert with our Money Services Business, Fintech and Cryptocurrency practice, supporting client engagement and new business outreach.

Bates News  |  12-14-21

Hank Sanchez on Top Compliance Issues for 2022 - Consultant’s Corner Video

Bates Compliance Managing Director Henry “Hank” Sanchez, Esq., talks with Carlos Guillen from BasisCode Compliance about what you should consider when outsourcing compliance programs and also discusses key technology compliance solutions and the new trends we will see in 2022.

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.

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. 

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.