News & Events

How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join this upcoming webinar from NYCLA for a discussion of best practices, common pitfalls to avoid, ethical obligations, and FINRA investigation priorities for 2023.

Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis, MO.

Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New York City

Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by the American Bankers Association.

Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto Conference, May 24, 2023.

Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in Washington, D.C.

AI and algorithms have wide usage but bring unique risks to organizations, including compliance risks due to potential bias, discrimination, and data breaches. The FTC issued guidance in April 2023 to help manage these risks and protect consumers.

Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division Staff Conference, Wednesday, May 10, 2023 in San Diego, CA.

Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our colleague Ira D. Hammerman will be featured on the panel “A look at the SEC’s and FINRA’s 2023 priorities and guidance for IBDs and RIAs on how to navigate regulatory scrutiny.” Bates is a proud sponsor of the conference.

In a recent Staff Bulletin, SEC staff clarified care obligations for broker-dealers and investment advisers towards retail clients. Both the Reg BI and fiduciary standards share the same principles and responsibilities towards retail investors, narrowing the differences between the two.

The Money Transmission Modernization Act (MTMA) was created to modernize the money transmission industry by allowing for comprehensive standards and requirements that reduce regulatory burden and encourage innovation, and improved consumer protections that allow for less confusing rules across states. In this article, we look at the three key benefits of the MTMA, as well as the current attitude of state legislatures toward its adoption.

Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale, FL.

Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg, FL.

FINRA and the SEC are increasingly focused on manipulative trading practices, such as wash sales and front running, due to an uptick in these violations and the regulators' use of advanced data analytics to detect potential market abuses.

Meet Bates Group crypto leaders Brandi Reynolds and John Ashley at CoinDesk's Consensus 2023 conference, April 26-28, 2023 in Austin, TX.

Bates is proud to announce the appointment of Benjamin R. Pappas as Chief Executive Officer, effective immediately. Previously, Pappas was Bates Group’s President, where he was responsible for driving the firm’s overall growth strategy. Pappas succeeds former CEO Jennifer Stout, who will be taking up new roles as Vice-Chair of the Board of Directors and Senior Executive Advisor to the firm.