01-18-23
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.
12-21-22
Bates Managing Director Brandi Reynolds, BSA/AML Compliance, MSBs, FinTech, and Virtual Assets, is featured in the latest issue of CrossTech Magazine. Read online now!
11-16-22
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.
09-07-22
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Erin Baskett, CPA, CGMA - Brokerage, Investment Advisory, Cryptocurrency Consulting
Patrick Cox - Fintech and Cybersecurity, Employment Matters, Broker-Dealer Sales Practice
Frederick Egler - Operational Risk Management, Insurance/Reinsurance, Banking
Brian Warshaw - Broker-Dealer Operations, Introducing Firm Operations, Transaction Processing
09-02-22
Summer is coming to a quick close, and we hope you had a chance to get moving and enjoy some fun in the sun!
While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this fall. We’ve even included a bonus track at the end of our list to cap off your summer.
08-31-22
Continuing to grow and expand its national reach, Bates Group welcomes Paul Lambert as a Strategic Advisor and Consulting Expert. A 30-year financial services veteran at Bank of America Merrill Lynch, Paul will be working with senior leadership to expand our client engagement across the business. Read the full announcement to learn more about Paul and the experience he brings to the Bates team.
08-24-22
The Bates main office has recently relocated from Lake Oswego to Portland.
08-15-22
Bates Managing Director Julie Johnstone was quoted in a recent InvestmentNews Article on the increase of Reg BI Customer Cases in FINRA Arbitration.
08-15-22
Bates Managing Director Brandi Reynolds (CAMS-Audit) is quoted in a new ACAMS Insights article discussing efforts to develop a federal regulatory framework for crypto and virtual assets.
07-05-22
Bates Group is expanding its national MSB, FinTech, and Cryptocurrency Practice with the addition of three leading Money Services Business industry professionals — including AML trailblazer Connie Fenchel.
06-07-22
Bates Group welcomes our newest consulting and testifying experts (pictured, L-R):
Joan Marie Asher, CIFD, IACCP - Hedge Funds, Private Equity, Alternative Investments
Jeffrey L. Baliban, MA Econ, CPA/ABV/CFF, CDBV - Business and Economic Damages, Business Valuation, Accounting
Jeff Jamieson - Litigation, Regulatory, Internal Investigations
05-25-22
Brandi Reynolds, Manging Director of Bates Group's MSB, FinTech and Cryptocurrency practice, is quoted in the recent "Guide to Anti-Money Laundering for Crypto Firms" from ComplyAdvantage.
05-09-22
Bates Group welcomes Michael Lindemann, Director and Certified Anti-Money Laundering Specialist, and Edel Gonzalez, Senior Consultant and Licensing & Compliance Specialist, to our MSB, FinTech and Cryptocurrency Practice.
03-29-22
With crypto services now reaching a mass audience, how do firms scale their compliance efforts? Bates Managing Director Brandi Reynolds recently joined ComplyAdvantage for the latest episode of their Uncover podcast series to explore this question. Hear Brandi’s insights how companies are scaling AML/CFT programs in the fast evolving crypto world.
02-17-22
Bates Group welcomes new testifying and consulting experts
02-02-22
Bates proudly celebrates Black History Month this February. Connect with us on social media as we examine the rich legacy of Black Americans in the fields of Finance, Banking, and Investing.