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News & Webpages
News - April 03 2020
Reg BI: SEC Keeps June 30th Deadline, FINRA Seeks to Amend Suitability Rule
Over the past few weeks the coronavirus pandemic has overtaken the nation’s financial agenda and diverted the attention of financial regulators who…
News - April 01 2020
Five Supervision, Control and Compliance Items You Should be Considering Now
Compliance is challenging to begin with, but in this new landscape, it is an even greater stretch for compliance teams to manage…
White Paper
News - March 26 2020
Update: SEC Amends ADV Filing and Delivery Deadline Extensions due to COVID-19
The SEC’s IAA Release No. 5469 on Wednesday, March 25, 2020 amends its IAA Release No. 5463 and now allows for extending…
News - March 26 2020
Enforcement Warnings in the Age of the Coronavirus
As regulators struggle to adjust to the stress that the coronavirus pandemic is placing on the markets, fraudsters are viewing it as…
News - March 25 2020
FINRA Warns Firms on UTMA/UGMA Account Supervision
In a Notice issued on February 27, FINRA advised firms of their responsibilities over custodial accounts under the Uniform Transfers to Minors…
Webpage
News - March 19 2020
Financial Regulatory Guidance, Assistance and Relief Roundup
During the current crisis, the challenge for financial firms and investors is to keep on top of the latest communications from regulators,…
News - March 18 2020
What We Have Learned From Previous Market Downturns and Corrections
Over the course of the last 40 years we’ve seen plenty of ups and downs in the markets. Along the way, Bates…
News - March 17 2020
FINRA Postponement of In-Person Arbitration & Mediation Hearings
FINRA has announced that, in response to the evolving coronavirus disease 2019 (COVID-19), it “has decided to administratively postpone all in-person arbitration…
News - March 16 2020
SEC Extends Form ADV Filing and Delivery Deadlines due to COVID-19
The SEC’s IAA Release No. 5463 on Friday, March 13 allows for extending the filing (March 30) and delivery (April 30) deadline…
News - March 16 2020
UPDATE: NSCP Regulatory Interchange with the SEC, DOL & FINRA: July 24, 2020 in Denver, CO.
NSCP Regulatory Interchange with the SEC, DOL & FINRA: Moved to July 24, 2020 in Denver, CO. Bates Compliance Managing Director Linda Shirkey is…
News - March 12 2020
Regulators Are Gaining Traction in the Fight Against Elder Financial Exploitation
Bates Group has been tracking regulatory and enforcement developments on senior financial exploitation. Two recent publications and recent sweeping enforcement actions suggest…
News - March 09 2020
Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article
Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.
News - March 05 2020
Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies
If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you…
News - February 28 2020
Massachusetts Adopts New Fiduciary Rule; SEC Releases Reg BI FAQs; NAIC Approves Annuity Regulation
As the June 30, 2020, date for compliance with the Regulation Best Interest (“Reg BI”) draws near, federal and state regulators are…
News - February 27 2020
Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6
Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March…
News - February 26 2020
Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize
Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure…
News - February 20 2020
FINRA Talks Dispute Resolution - Offers Tips and Advice to Counsel and Arbitrators
On February 3, 2020, the New York County Lawyers Association hosted its “21st Annual FINRA Listens and Speaks” panel. The panel members…
News - February 20 2020
“Understanding Reg BI” Webinar 02-27-20 from AI Insight and Bates Compliance - Video Now Available
David Birnbaum and Linda Shirkey from Bates Compliance join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest…
News - February 12 2020
New OCIE Report Offers Best Practices for Firms to Enhance Cyber Preparedness and Resiliency
On the heels of their 2020 examinations priorities report, OCIE has issued a new report on “Cybersecurity and Resiliency Observations” to reemphasize…
News - February 11 2020
Private Placement Alert: GPB Private Funds Under Scrutiny
Bates Group is alerting counsel that we are seeing cases filed where firms sold private funds issued by GPB Capital Holdings LLC.…
News - February 06 2020
Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020
Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville,…
News - February 05 2020
Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX
Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered…
News - February 05 2020
U.S. Anti-Money Laundering Updates
The Treasury Department’s Office of Comptroller of the Currency (OCC) issued an Annual Report to Congress highlighting the past year’s BSA and…
News - January 29 2020
Meet and Hear from Bates AML Leaders at the 2020 SIFMA AML and Financial Crimes Conference
Bates AML and Financial Crimes Managing Director Edward Longridge will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020…
News - January 28 2020
Bates Group Welcomes New Managing Director Jennifer L. Cunningham
Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services professional with…
News - January 23 2020
FINRA Reorganizes for More Coordinated Exams, Highlights Priorities for 2020
In his cover note accompanying FINRA’s annual Risk Monitoring and Examination Priorities letter, FINRA President and CEO Robert Cook reminded members of…
News - January 22 2020
Download The New Reg BI White Paper from Bates Research and Bates Compliance
Understand what Reg BI requires now — and what more you must implement before the final deadline. Download our new white paper:…
News - January 16 2020
OCIE to Prioritize Reg BI Compliance in 2020 Examinations
The SEC Office of Compliance Inspections and Examinations ("OCIE") set out their 2020 examinations priorities in an annual report issued last week.…