News & Events – Bates Research

As AML systems improve access to customer information, it has become easier to understand who is behind an alert. But what about the transactions themselves? This article explores why digging into the details of transactional activity remains essential to effective alert analysis and how over-relying on automation can leave real risks unchecked.

Oversight of FinCrimes systems and their vendors is a critical, yet often embedded, focus in federal and state examinations. This article explores the practical, year-round actions FinCrimes Officers can take to demonstrate effective vendor oversight—well beyond the annual risk assessment.

In complex litigation, asset tracing serves as a critical tool for uncovering financial truth and informing legal strategy. Our latest article from Managing Consultant Lindsey Dean outlines how methodical financial analysis can help build a "yellow brick road" that leads your case to resolution.

Explore Bates Group’s 2024 U.S. Economic and Capital Markets Chartbook for detailed analysis of equity markets, credit, private equity, and the broader economy. Tailored for financial professionals, regulators, and counsel, this essential resource highlights key trends shaping the financial landscape. Plus: Bonus infographic showcasing 100 years of market history.

Struggling to keep pace with BSA/AML and OFAC compliance demands? Discover how outsourced compliance services can provide flexible, expert support tailored to your needs, from interim leadership to risk assessments, monitoring, and training.

Discover the key trends shaping customer expectations in the evolving payments industry. From real-time transactions to sustainable practices, explore how payment providers can stay competitive and meet customer needs in 2025 and beyond.

2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts and emerging threats—and discover how financial institutions can stay agile in a rapidly evolving risk environment.

An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis can identify systemic issues across people, processes, and technology, guiding institutions toward targeted remediation and enhanced regulatory alignment.

RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions and drive long-term value creation.

AI agents are revolutionizing the crypto market, automating trades, analyzing vast datasets, and optimizing decentralized finance. With AI-driven tokens gaining momentum, understanding the balance between hype and real utility is crucial. Explore how AI is shaping blockchain ecosystems and its future impact in our latest article.

AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide to the future of intelligent automation.

FINRA’s 2025 Regulatory Oversight Report highlights key compliance priorities, including AML system testing, FINOP obligations, AI in financial services, investment fraud risks, and third-party vendor vulnerabilities. Our Bates Comparison Chart tracks how these priorities have evolved year over year.

Regulatory opacity and overreach are forcing legitimate crypto firms out of banking. Learn how outdated policies impact financial access and what reforms are needed to fix the system.

Discover how outsourced Chief Compliance Officer (CCO) solutions can help RIA firms enhance compliance, manage costs, and drive growth. Learn the seven key benefits today.

Bates Group provides expert guidance and tailored solutions to help organizations mitigate AI-related risks, ensure regulatory compliance, and optimize AI strategies for long-term success. As the financial landscape evolves, institutions that effectively leverage AI while managing its risks will position themselves as industry leaders in innovation and efficiency.

Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.