News & Events –

Meet Bates Group Leaders and Experts David Birnbaum and Ira Hammerman at SIFMA’s 2023 Women’s Leadership Forum in NYC. Tuesday, September 19th.

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

Join Bates Group at the 2023 Money Transmitter Regulators Association (MTRA) Annual School and Conference - September 11-14 in Portland, OR. 

Join Bates leaders and experts at the SIFMA C&L Society 2023 regional seminar on September 11, 2023, in Charlotte, NC.

Bates consulting and testifying expert Clay Grumke was recently interviewed by CNBC for a short video documentary on Insider Trading. Watch 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.

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.

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.

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.

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.

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.

Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management. 

State Legislatures in Louisiana and North Dakota have recently enacted or adopted new rules for virtual currency and money transmitters. Bates has the details in this new alert.

Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.

Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want You to Know." June 20, 2023 from 12 - 1 p.m. ET. 

SEC Exams Division staff issued a new risk alert on June 8, 2023, noting they will be reviewing additional Marketing Rule areas of emphasis.