11-02-23
Congratulations to the FSDA on their 90th Anniversary!
Bates is a proud sponsor of the Florda Securities Dealers Association's (FSDA) 90th Anniversary Celebration, Thursday, November 2, 2023.
News & Events –
10-30-23
5 Tips to Prepare for NMLS Annual License Renewal Season - Starting November 1
State regulators are encouraging individuals and businesses to start preparing now for the Nov. 1 start of Nationwide Multistate Licensing System (NMLS) annual license renewal.
10-22-23
Join Bates at Money 20/20, October 22-25, 2023
Bates Director Michael Lindemann will be at the Money 20/20 conference Oct. 22-25 in Las Vegas.
10-17-23
Bates Sponsors The 2023 Raymond James Valor Golf Outing October 28th
Bates is proud to be a sponsor of the 5th annual Raymond James Valor golf outing, Saturday, October 28th.
10-16-23
Bates is a Proud Sponsor of the 2023 NSCP National Conference
Join Bates at the NSCP National Conference, October 16-18, 2023 in Dallas, TX. We are a proud sponsor of this year's event.
10-16-23
SEC Division of Examinations Announces 2024 Examination Priorities
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 Group Welcomes Chris Riper as Managing Director, Litigation and Regulatory Practice
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
Join Bates Group at ACAMS 2023 - The Assembly Las Vegas, October 2-4 at the ARIA Resort & Casino.
09-26-23
FinCEN Alert: “Pig Butchering” Scams and the Importance of Suspicious Activity Reporting for Financial Institutions
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
Rob Ayers to Speak at IPR Global 2023 Payments and Remittance Conference September 26-27 in London
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
SIFMA 2023 Women’s Leadership Forum
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
So Long Summer – Hello Fall! What You Missed and What is Happening This Fall
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
Bates Sponsors the 2023 MTRA Annual School and Conference
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 at the SIFMA C&L Regional Seminar Charlotte - Monday, September 11, 2023
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 Expert Clay Grumke on CNBC’s Insider Trading Video
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
SEC Adopts Private Fund Rules, Instructing All Investment Adviser Firms to Document Annual Reviews Now
With the SEC's adoption of the Private Fund Rules, the amendment now requires registered investment advisers to document their annual review in writing.