09-23-26
The SEC Division of Examinations published a Risk Alert on September 14, 2026, describing what examiners find when they test adviser compliance with the annual review requirement. Staff observations cover five areas, including advisers who treated compliance training and personnel attestations as satisfying the review. Bates Group summarizes the findings.
09-14-26
A compromised brokerage account is now as likely to be used to move a stock price as to move funds. That changes what surveillance has to catch, and what a firm has to be able to prove afterward.
09-10-26
SEC approves FINRA Rule 4515.01 changes removing principal approval for qualifying investment adviser bulk order allocations; effective date pending.
09-03-26
Bates Group Managing Director Jennifer Selliers will attend ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.
09-02-26
Kurt Wachholz has been promoted to Senior Managing Director and Compliance Practice Lead
08-13-26
FinCEN permanently ends CTA beneficial ownership reporting for U.S. entities while CDD obligations remain for covered financial institutions.
08-11-26
A common but underrecognized risk has emerged across the industry: employees using free AI tools to handle client information without firm approval, which creates exposure under the amended Regulation S-P. Learn how AI governance, supervision, data protection, and vendor oversight can close compliance gaps.
08-06-26
Meet Antonio Rega at SER's Annual Conference, August 6–7, 2026 in Washington, D.C., and discuss digital forensics, cybersecurity, investigations, and expert witness services.
07-15-26
The OCC proposes an AML/CFT supervision framework for the stablecoin issuers it supervises under the GENIUS Act, enhancing BSA and sanctions compliance oversight.
06-26-26
Explore FINRA’s 2026 Regulatory Oversight Report with a five-year chart tracking compliance priorities, AI risks, cybersecurity, AML, and Reg BI trends.
06-18-26
The SEC Examinations Staff issued a Risk Alert on June 9, 2026 on investment adviser obligations related to economic conflicts of interest, covering undisclosed revenue arrangements, fee billing deviations, Form ADV gaps, and compliance program deficiencies.
06-03-26
Regulation S-P compliance deadline arrives as SEC examiners focus on cybersecurity controls, incident response, vendor oversight, and data protection.
06-03-26
Meet Bates Group at the 2026 SIFMA AML & Financial Crimes Conference in New York to discuss AML compliance, fraud prevention, and regulatory trends.
06-03-26
Join Bates Group's Hank Sanchez at the 2026 NSCP Compliance Labs in Dallas for expert-led compliance training, regulatory insights, and practical workshops.
05-21-26
Download Bates Group’s annual U.S. Economic and Capital Markets Chartbook featuring key economic trends, market data, and investment insights for FY2025.
05-20-26
Join Bates Group at the 2026 NSCP Compliance Lab in Miami for hands-on training, real-world scenarios, and expert-led financial compliance insights.