03-09-23
Ira D. Hammerman Interviewed in ThinkAdvisor, Law360 on His Move to Bates
Publications including ThinkAdvisor, Law360, SIFMA SmartBrief, and Politico have all recently mentioned Ira D. Hammerman's new role as Bates Group Managing Director.
News & Events – Bates News
03-06-23
Former SIFMA Executive VP & General Counsel Ira D. Hammerman Joins Bates Group as Managing Director
We are proud to announce that Ira D. Hammerman has joined Bates Group as Managing Director.
02-07-23
Bates Managing Director Brandi Reynolds to speak at SWIFS Lunch and Learn February 14, 2023
Bates Group AML Compliance and Virtual Assets Managing Director Brandi Reynolds, CAMS-Audit, will appear at the upcoming SWIFS Lunch and Learn "Fireside Chat: Crypto in the News" - Tuesday, February 14, 2023.
01-18-23
Human Trafficking Prevention Month - January 2023
January is National Human Trafficking Prevention Month. Financial institutions play a critical role in helping to fight human smuggling and human trafficking by identifying suspicious behavior and sharing crucial intelligence with law enforcement officials.
11-16-22
Are Your Firm’s Policies and Procedures Working as Intended for Rights of Reinstatement?
FINRA has remained focused on ensuring that eligible customers received Rights of Reinstatement (“ROR”) benefits where appropriate. Just recently, we were retained by another large firm looking to leverage the depth of our experience gained through many engagements assisting our clients with Rights of Reinstatement issues since the targeted examination announcement in 2020. Contact Bates today if you are facing a FINRA inquiry or other action or need to update your policies and procedures.
02-27-19
Four Challenges Facing Firms Ahead of FINRA’s 529 Share Class Initiative April 1st Deadline
Firms participating in FINRA’s 529 Plan Share Class Initiative should act now to meet the regulator’s approaching April 1st deadline to self-report violations and submit a plan to remediate harmed clients. Bates looks at four distinct challenges facing firms as they prepare their response.
02-01-19
FINRA Rolls Out Its 529 Plan Share Class Initiative - Is Your Firm Ready to Address It?
On the heels of the SEC’s 12b-1 Share Class Initiative, FINRA just announced its own Share Class Initiative. FINRA’s Share Class Initiative sets a deadline of April 1, 2019 for firms to self-report 529 savings plan share class violations and to provide FINRA with a plan to remediate harmed clients.
Bates Group has deep and proven experience and expertise in share class disclosure matters. To support firms facing FINRA’s 529 Plan disclosure and remediation initiative, we have created a plan that provides essential end-to-end steps and solutions to identify and address accounts and clients impacted by share class selection.