07-21-26
Antonio Rega Joins SER’s Annual Conference in Washington, D.C.
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.
News & Events
07-15-26
OCC Proposes AML/CFT Supervision Framework for Stablecoin Issuers It Supervises Under the GENIUS Act
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
FINRA’s 2026 Regulatory Oversight Report: What Five Years of Priorities Reveal About Your Compliance Risk
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
SEC Division of Examinations Issues Risk Alert on Investment Adviser Economic Conflicts of Interest
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
Reg S-P Compliance Date Is Here: What Examiners Will Be Looking For Now
Regulation S-P compliance deadline arrives as SEC examiners focus on cybersecurity controls, incident response, vendor oversight, and data protection.
06-03-26
Bates Group at the 2026 SIFMA AML and Financial Crimes Conference
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
Hank Sanchez in Dallas for the NSCP Interactive Compliance Lab
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
Bates Group Releases 2025 U.S. Economic and Capital Markets Chartbook
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
Bates Group is on the Agenda at the NSCP Compliance Lab in Miami
Join Bates Group at the 2026 NSCP Compliance Lab in Miami for hands-on training, real-world scenarios, and expert-led financial compliance insights.
05-18-26
FINRA Forward Initiative Brings Exam Scheduling and Early Findings Options for Broker-Dealers
FINRA Forward introduces new exam scheduling and early findings options to help broker-dealers improve compliance efficiency.
05-14-26
SEC 2026 Exam Priorities Chart: What Five Years of Data Reveal About Your Examination Risk
Explore SEC 2026 exam priorities with a five-year trend chart highlighting key compliance focus areas like cybersecurity, fiduciary duty, and risk management.
05-12-26
Bates Group at the 2026 FINRA Annual Conference
Bates Group will be at the 2026 FINRA Annual Conference May 12-14, covering key regulatory trends, compliance insights, and industry networking in Washington, D.C.
05-07-26
Live Discussion on Prediction Markets: Enforcement Signals & Emerging Risks
Explore rising enforcement risks in prediction markets as regulators increase scrutiny on insider trading, compliance, and event contract oversight.
04-21-26
SEC and CFTC Jointly Propose Amendments to Reduce Private Fund Reporting Burdens
SEC and CFTC propose Form PF amendments to ease reporting burdens, raise thresholds, and streamline compliance for private fund advisers.
03-22-26
Bates Group is a Proud Sponsor of the 2026 SIFMA C&L Annual Seminar
Bates Group is a proud sponsor of the 2026 SIFMA C&L Annual Seminar, uniting financial industry compliance and legal leaders in Orlando March 22–25, 2026.
03-18-26
Join Bates Group at the 2026 IAA Compliance Conference
Join Bates Group at the 2026 IAA Compliance Conference for insights on compliance, regulatory trends, and best practices for investment advisers.