Bates Research

White Papers

Markets can seem frustratingly complex when you don't know where to start, and spending time gathering background material is a burden that can leave you feeling less confident about your choices. Let Bates Research take care of the background for you, so you can spend your time building value elsewhere. Our White Papers are meant to be a jumping-off point to help you understand the legal, regulatory and compliance issues at hand.


06-02-20

Bear Markets, Black Swan Events and Volatility

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03-31-20

Bates US Chartbook - 2019 Year in Review

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03-10-20

Compliance Considerations in an RIA Merger or Acquisition

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01-21-20

SEC’s Regulation Best Interest: Perspectives on Firm Compliance

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09-04-19

Article: With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?

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08-02-19

Forensic Accounting in the Context of Litigation

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05-28-19

Broker-Dealer Branch Office Compliance: Supervision, Inspections and Operational Considerations

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05-07-19

Data Challenges in Wage and Hour Damages Analyses

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01-11-19

AML Enforcement and Compliance: 2018 Year in Review and Observations for 2019

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11-15-18

The Challenge of AML Leadership: A Conversation with Managing Director Edward Longridge

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10-02-18

Navigating A Changing Landscape: Current Considerations When Addressing Senior Financial Fraud

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06-17-15

Fixed Income Part Four - Reaching for Yield

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06-11-15

Fixed Income Part Three - Bond Fund Investment

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06-03-15

Fixed Income Part Two - Understanding Credit Ratings

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03-12-15

Fixed Income Part One - Fee Selection and Reverse Churning

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01-28-15

ERISA Part Four - ERISA - 3(16)

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01-21-15

ERISA Part Three - Due Diligence for Service Providers

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01-15-15

ERISA Part Two - Choosing the Right Type of Investment Advice

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12-19-14

ERISA Part One - 3(21) v 3(38) Investment Assistance

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07-03-14

High Frequency Trading - Intro Guide

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05-27-14

Regulatory Brief - Rules for CPOs and CTAs

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04-15-14

Private Placements

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01-13-14

Regulatory Brief - ERA

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10-09-13

MLP Explained

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06-07-13

REITS Explained

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02-20-13

CDO Explained

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01-16-13

Libor Explained

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01-11-13

CDS Explained

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01-11-13

MBS Explained

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