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News & Webpages
News - April 24 2025
What Can Outsourced Compliance Do For BSA/AML and OFAC Programs?
Struggling to keep pace with BSA/AML and OFAC compliance demands? Discover how outsourced compliance services can provide flexible, expert support tailored to…
News - April 22 2025
Bates Group at ACAMS Assembly Hollywood 2025: Advancing AML/AFC Compliance
Join Bates Group at ACAMS Assembly Hollywood, April 28–30 at The Diplomat Beach Resort. Connect with our experts and hear Brandi Reynolds…
News - April 11 2025
Meeting Customer Expectations in the Payments Industry
Discover the key trends shaping customer expectations in the evolving payments industry. From real-time transactions to sustainable practices, explore how…
News - April 10 2025
Bates Sponsors FSDA 2025 Industry Outreach Program
Bates Group is a proud Sponsor of the FSDA’s 2025 Industry Outreach program “Riding the Waves of Possibility,” live and online April 10th from…
News - April 07 2025
Live Discussion - “Bridging the Gap: Crypto, Banks & the Future of Financial Innovation”
Join Bates Group and Polsinelli on April 17 at 11 AM ET for a live discussion on crypto, fintech, and bank partnerships.…
News - April 04 2025
Live CLE Webinar: BaaS - What Fintechs and Banks Need to Know
Explore the latest compliance challenges and regulatory trends in Banking-as-a-Service (BaaS). Join industry experts from Bates Group, Nelson Mullins, Kraken,…
News - April 03 2025
The 2025 Anti-Financial Crimes Risk Landscape
2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts…
News - April 01 2025
Live Webinar April 1st on Navigating Reg BI Enforcement
Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.
News - March 31 2025
Brandi Reynolds Quoted by Bloomberg Tax on FinCEN’s Interim CTA Rule
Bates Group Managing Director and Senior Growth Officer Brandi Reynolds, CAMS-Audit, CCAS, is quoted in a recent Bloomberg Tax article on…
News - March 27 2025
Revitalizing an Underperforming AML Program: A Root Cause Analysis Approach
An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis…
News - March 26 2025
Join Bates Group at the DC Blockchain Summit 2025
Connect with Jason Fitch at the 2025 DC Blockchain Summit on March 26 in Washington, D.C. to learn more about Bates Group's consulting services,…
News - March 25 2025
The SEC has updated its Marketing Rule FAQs with key clarifications on extracted performance and portfolio characteristics. Advisers who advertise performance should…
News - March 23 2025
Bates Group Sponsors the SIFMA 2025 C&L Annual Seminar
Bates Group is a proud sponsor of the 2025 SIFMA C&L Annual Seminar, March 23-26, 2025 in Austin, Texas.
News - March 20 2025
Mastering RIA Acquisitions: A Strategic Framework for Success
RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions…
News - March 20 2025
Live Webinar: Fintech and Consumer Regulations in the New Trump Administration
Join us for a timely and insightful live webinar exploring the shifting regulatory and legal landscape for fintech, financial services, and consumer…
News - March 13 2025
AI Agents and Crypto: Market Impact
AI agents are revolutionizing the crypto market, automating trades, analyzing vast datasets, and optimizing decentralized finance. With AI-driven tokens gaining momentum, understanding…
News - March 10 2025
Armin Sarabi Quoted in InvestorCOM Article: Navigating the Fiduciary Rule in 2025
In a recent article from InvestorCOM, Armin Sarabi shares key insights on the evolving fiduciary rule, compliance best practices, and technology’s role…
News - March 05 2025
Join Bates Group at the 2025 IAA Compliance Conference
Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. to learn about practical insights and best practices that…
News - February 27 2025
Understanding AI Agents: A Comprehensive Overview
AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide…
News - February 24 2025
Brandi Reynolds to Speak at Mastercard’s Global Fintech Week Kick-off in NYC
We’re excited to share that Brandi Reynolds will be speaking at Mastercard’s Global Fintech Week Event February 24, 2025
News - February 23 2025
FINRA 2025 Regulatory Oversight Report with Bates Comparison Chart
FINRA’s 2025 Regulatory Oversight Report highlights key compliance priorities, including AML system testing, FINOP obligations, AI in financial services, investment fraud risks,…
News - February 20 2025
Rhonda Davis to Speak at the 21st Annual Puerto Rican Symposium of AML
Connect with Bates Group in San Juan, Puerto Rico for the 21st Annual Puerto Rican Symposium of AML.
News - February 19 2025
Operation Chokepoint 2.0: How Crypto Firms Are the New Target of Financial Exclusion
Regulatory opacity and overreach are forcing legitimate crypto firms out of banking. Learn how outdated policies impact financial…
News - February 12 2025
Seven Essential Benefits of Outsourced CCO Solutions for RIA Firms
Discover how outsourced Chief Compliance Officer (CCO) solutions can help RIA firms enhance compliance, manage costs, and drive growth. Learn the seven…
News - February 11 2025
Bates Group will be at the NMLS 2025 Annual Conference
Connect with Bates Group at the 2025 NMLS Annual Conference & Training in Atlanta from February 11-14
News - February 04 2025
Meet The Bates Group Team at “One Great Night!”
Bates Group sponsors "One Great Night," February 4, 2025, hosted by SWIFS and FSDA. Join us for industry insights, networking, and a…
News - February 03 2025
Brandi Reynolds To Co-Chair Blockchain Association’s Compliance Working Group
Brandi Reynolds has been named Co-Chair of the Blockchain Association’s Compliance Working Group, leading efforts to shape crypto compliance standards and regulatory…
News - February 03 2025
5 Ways AI is Transforming Financial Institutions
Bates Group provides expert guidance and tailored solutions to help organizations mitigate AI-related risks, ensure regulatory compliance, and optimize AI strategies…
News - January 30 2025
Live CLE Program: Crypto Opportunities in 2025
Join Bates Group and Steptoe for an exciting live CLE program regarding emerging trends and key points of interest for crypto businesses…
News - January 29 2025
FINRA Has Published Its 2025 Regulatory Oversight Report
FINRA has published its 2025 Regulatory Oversight Report, highlighting key compliance insights, emerging risks, and new regulatory developments for member firms.
News - January 29 2025
Preparing For a Compliance Management System Review: A Practical Guide
Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies.…
News - January 22 2025
Banking as a Service: A Comprehensive Risk Management Framework for Banks, MSBs, and Crypto Firms
Explore the six key pillars of a risk management framework tailored for banks, MSBs, and crypto firms in the transformative Banking as…