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Bates News  |  09-14-23

So Long Summer – Hello Fall! What You Missed and What is Happening This Fall

Image © [nito] /Adobe Stock

The summer has flown by, and now back-to-school (and back-to-office) is here again.

We’ve compiled some items you might have missed and some upcoming events to look forward to this fall, and we have even included a bonus track in honor of the man who knew how to keep that summer feeling going.

Compliance and Alerts

  • NASAA Report on Compliance with Reg BI Phase II (B) (

  • Investment Advisers: Assessing Risks, Scoping Examinations, and Requesting Documents (

  • SEC Adopts Private Fund Rules, Instructing All Investment Adviser Firms to Document Annual Reviews Now (

  • Preventing Elder Financial Exploitation: Solutions to a Growing Threat (

  • Investment Adviser New Marketing Rule Examinations Focus on Additional Areas (

  • Legislative Alert: Louisiana Enacts New Virtual Currency Act; North Dakota Adopts Money Transmission Modernization Act (

  • The Compliance Risk of Artificial Intelligence (

  • SEC Bulletin Offers Staff’s Views on Standards of Conduct for Investment Advisers and Broker-Dealers When Addressing Care Obligations: What You Need to Know (

On-Demand Webinars

In the News

So Long Summer – Hello Fall! What You Missed and What is Happening This Fall

Bates Consulting and Testifying Clay Grumke was interviewed by CNBC for their short video documentary, “Why Insider Trading Is So Difficult To Stop,” published online on August 10, 2023. Watch Here.

So Long Summer – Hello Fall! What You Missed and What is Happening This Fall

Patrick Cox, Bates Consulting and Testifying Expert, was interviewed by Financial Advisor IQ reporter concerning the Securities and Exchange Commission’s recent July 26, 2023 proposal around mitigating conflicts of interest relating to predictive data analytics and the implications, including with Reg BI. Read Here.

New Expert Compliance Training

Let the Expert Compliance Team at Bates keep your organization in compliance with our specially tailored training programs for money services businesses and non-banking financial institutions. We offer a range of courses including AML and BSA compliance, OFAC, elder financial abuse, prepaid card programs, Regulation E, and more! We also offer custom training solutions to help your organization stay on top of industry standards and regulatory obligations.

Learn More about Online Compliance Training from Bates

Check out course previews on the new Bates Group YouTube channel. Like, comment, and subscribe today!

Join Us This Fall!

Need Assistance?

For additional information and practice support, please use the links below to browse Bates Group’s practice areas and services. Contact Us today or give us a call at 503-772-6770.

Compliance & AML Solutions
Compliance & AML by Entity/Industry
Securities and Financial Services Litigation & Consulting
Regulatory and Internal Investigations
Data Analyses & Analytics
Actuarial Services, Annuity & Insurance Product Litigation
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Bonus Track:

Keep that summer feeling going. RIP Jimmy.