10-16-23
The Securities and Exchange Commission’s Division of Examinations has just released its 2024 examination priorities report. Stay tuned for our annual commentary and chart, coming soon, on the SEC's 2024 priorities and how they may impact your legal, regulatory and compliance matters.
10-06-23
Bates is pleased to announce the return of Chris Riper as Managing Director for complex litigation and regulatory matters.
10-02-23
Join Bates Group at ACAMS 2023 - The Assembly Las Vegas, October 2-4 at the ARIA Resort & Casino.
09-26-23
Financial institutions play a vital role in detecting and reporting suspicious activity that may be related to financial crimes. The Financial Crimes Enforcement Network (FinCEN) issued recent alert to highlight a prominent virtual currency investment scam known as “pig butchering.” The alert points to several red flags that financial institutions should look out for to detect suspicious activity related to this scam.
09-26-23
Bates Group Money Services Business (MSB) and money transmitter expert Rob Ayers will be representing Bates in London at the 2023 Innovation in Payments and Remittance (IPR) Global Conference, taking place live at Convene in London, UK, as well as on a dedicated online events platform, from 26-27 September 2023.
09-19-23
Meet Bates Group Leaders and Experts David Birnbaum and Ira Hammerman at SIFMA’s 2023 Women’s Leadership Forum in NYC. Tuesday, September 19th.
09-14-23
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
09-11-23
Join Bates Group at the 2023 Money Transmitter Regulators Association (MTRA) Annual School and Conference - September 11-14 in Portland, OR.
09-11-23
Join Bates leaders and experts at the SIFMA C&L Society 2023 regional seminar on September 11, 2023, in Charlotte, NC.
09-01-23
Bates consulting and testifying expert Clay Grumke was recently interviewed by CNBC for a short video documentary on Insider Trading. Watch now!
09-01-23
With the SEC's adoption of the Private Fund Rules, the amendment now requires registered investment advisers to document their annual review in writing.
08-28-23
Join Bates Group Director and Expert Joe Thomas at the 2023 National Adult Protective Services Association (NAPSA) Conference. August 28-30, 20203 in Boston, MA.
08-15-23
Join us for an informative live webinar where we will delve into the crucial aspects of managing asset custody, including regulatory requirements, best practices, risk management, and key considerations for businesses. August 15, 2023 @ 2PM ET.
08-14-23
Patrick Cox, Bates Consulting and Testifying Expert, was recently interviewed by Financial Advisor IQ reporter Brianna Monsanto 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.
08-02-23
Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by ComplyAdvantage and featuring Bates Managing Director Brandi Reynolds.
07-26-23
Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation perspective. July 19th and 26th, 2023, at 2 p.m. ET.