News – Bates News

Bates News, Compliance and Regulatory Alerts  |  03-09-20

Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article

Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.


Bates News, Bates Research, Compliance and Regulatory Alerts  |  03-05-20

Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies

If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you are not alone. Since the outbreak of the coronavirus (also referred to as COVID-19) and more recently, the precipitous volatility of the financial markets, financial firms have been deluged with questions from just about every stakeholder group about how to respond. Regulators are weighing in as well. Bates looks at some of the efforts to prepare and reassure everyone out there.


Bates News  |  01-28-20

Bates Group Welcomes New Managing Director Jennifer L. Cunningham

Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services professional with over 20 years of experience in broker-dealer branch office management, risk and supervision, suitability, operations, sales support, Human Resources and customer communications. A former Director at UBS in New Jersey and New York City and former Vice President at the Merrill Lynch Fifth Avenue flagship office, Ms. Cunningham comes to Bates from another consulting firm, where she provided expertise in support of broker-dealer litigation and customer complaint matters, prepared FINRA broker-dealer New Member Applications, and served as lead project manager for specialized regulatory and compliance consulting retentions.


Bates News  |  01-15-20

Bates Expert William Jannace Quoted in Investment News Article

Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News.


Bates News, Compliance and Regulatory Alerts  |  01-06-20

Bates Group Expands Regulatory Compliance Services with Acquisition of The Advisor’s Resource, Inc.

Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston, Texas. Veteran compliance leader and TARI Founder & President Linda Shirkey will join Bates Group, along with Shelley Dragon, TARI’s director of client service, as members of the Bates Compliance team. The acquisition further expands Bates Compliance with greater access and resources to service Registered Investment Advisers (RIAs), as well as private equity and hedge fund firms across the United States.


Bates News, Compliance and Regulatory Alerts  |  12-19-19

Reg BI Countdown – Is Your Firm Ready?

Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Bates Compliance helps firms achieve Reg BI readiness.


Bates News, Compliance and Regulatory Alerts  |  11-15-19

Reg BI Countdown - FINRA Wants to Know How Your Reg BI Implementation is Coming Along

FINRA has announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Learn about how Bates Compliance and our Reg BI Readiness Workshops can support your firm’s SEC Reg BI implementation efforts.


Bates News  |  11-12-19

Bates Welcomes Our Newest Experts and Consultants

Bates Group is proud to introduce our newest experts and consultants: Gontran de Quillacq, Caryn Miller, Michael Dorsey, Amy Ott, Mark Filler, Tali Taft, Paul Horn and Debra Vaughan.


Bates News, Events  |  11-11-19

This Week at Bates

Bates Group Leaders and Experts will be appearing at several industry events around the country this week.


Bates News  |  11-07-19

Bates Managing Director Hank Sanchez Quoted in The Wall Street Journal

Bates Managing Director and Expert Consultant Hank Sanchez is quoted in a new article from The Wall Street Journal.


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