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Early Case Assessment

News - September 16 2026

SEC Risk Alert: Examination Observations on Investment Adviser Annual Compliance Reviews

Division of Examinations staff describe five recurring failures in Rule 206(4)-7(b) reviews, including advisers who treated training and attestations as a substitute…

News - September 15 2026

When No Money Leaves: Account Takeover as a Manipulation Problem

A compromised brokerage account is now as likely to be used to move a stock price as to move funds. That changes…

News - September 10 2026

SEC Approves FINRA Rule 4515.01 Amendment: Principal Approval Requirement Removed for Investment Adviser Bulk Order Allocations

SEC approves FINRA Rule 4515.01 changes removing principal approval for qualifying investment adviser bulk order allocations; effective date pending.

News - September 03 2026

Bates Group Attends ICI’s Inaugural Compliance, Risk, and Legal Conference

Bates Group Managing Director Jennifer Selliers will attend ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.

News - September 02 2026

Kurt Wachholz Promoted to Senior Managing Director and Compliance Practice Lead

Kurt Wachholz has been promoted to Senior Managing Director and Compliance Practice Lead

News - August 13 2026

FinCEN Permanently Ends Beneficial Ownership Reporting Requirements for U.S. Entities

FinCEN permanently ends CTA beneficial ownership reporting for U.S. entities while CDD obligations remain for covered financial institutions.

News - August 11 2026

Shadow AI Meets Reg S-P

A common but underrecognized risk has emerged across the industry: employees using free AI tools to handle client information without firm approval, which…

News - August 06 2026

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 - July 15 2026

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.

News - June 26 2026

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.

News - June 18 2026

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…

News - June 03 2026

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.

News - June 03 2026

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…

News - June 03 2026

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…

News - May 21 2026

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…

News - May 20 2026

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.

News - May 18 2026

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.

News - May 14 2026

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…

News - May 12 2026

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…

News - May 07 2026

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.

News - April 21 2026

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.

News - March 22 2026

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…

News - March 18 2026

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.

News - February 25 2026

Bates Group Announces CEO Transition

Bates Group announces leadership transition as Benjamin Pappas steps down; Alex Russell and Rhonda Davis named Co-CEOs to lead continued growth.

News - February 17 2026

Matt Summers at the NMLS 2026 Annual Conference & Training, Feb. 17-20

Matt Summers represents Bates Group at the NMLS 2026 Annual Conference & Training Feb 17–20 in Orlando, connecting with regulators,…

News - February 12 2026

Video: FINRA Imposes $325K Fine Over E-Signature Supervision Failures

FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags…

News - February 11 2026

Armin Sarabi at the Kingdom Advisors Redeeming Money 2026 Conference, Feb. 11-13

Bates Group Managing Director Armin Sarabi attends the Kingdom Advisors Redeeming Money Conference Feb. 11-13, blending faith and finance for professional growth.

News - February 04 2026

Bates Group Releases 2025 IPO Report from Director Greg Kyle

Bates Group is pleased to share the release of our IPO Report: An Analysis of U.S. Initial Public Offerings (2000–2025), authored by…

News - January 21 2026

FINRA’s Evolving Enforcement Focus on Rights of Reinstatment

FINRA is expanding its Rights of Reinstatement enforcement focus beyond missed fee waivers to mutual fund switching practices. Learn how…

News - January 12 2026

Alert: FinCEN Delays IA AML Rule; SEC Proposes Updated “Small Entity” Definitions

FinCEN delays the Investment Adviser AML Rule to 2028, while the SEC proposes updates to “small entity” definitions affecting future…

News - January 06 2026

The GENIUS Act and the Future of Stablecoin Regulation

The GENIUS Act creates the first comprehensive U.S. framework for payment stablecoins, defining who can issue them, how a dual state and…

News - December 22 2025

SEC Division of Examinations Issues Risk Alert on Investment Adviser Marketing Rule Compliance

The SEC’s Division of Examinations spotlights common Marketing Rule deficiencies tied to testimonials, endorsements, and third-party ratings. Here’s what advisers…