News & Events

Bates Group announces leadership transition as Benjamin Pappas steps down; Alex Russell and Rhonda Davis named Co-CEOs to lead continued growth.

Bates Group is a proud sponsor of the 2026 SIFMA C&L Annual Seminar, uniting financial industry compliance and legal leaders in Orlando March 22–25, 2026.

Matt Summers represents Bates Group at the NMLS 2026 Annual Conference & Training Feb 17–20 in Orlando, connecting with regulators, licensing professionals, and compliance leaders.

FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags and inadequate controls.

Bates Group Managing Director Armin Sarabi attends the Kingdom Advisors Redeeming Money Conference Feb. 11-13, blending faith and finance for professional growth.

Bates Group is pleased to share the release of our IPO Report: An Analysis of U.S. Initial Public Offerings (2000–2025), authored by Director Greg Kyle. The report provides a comprehensive review of U.S. IPO activity and a detailed examination of 2025 market conditions.

FINRA is expanding its Rights of Reinstatement enforcement focus beyond missed fee waivers to mutual fund switching practices. Learn how regulators are evaluating fund-to-fund transitions, additional fees, and suitability, and how firms can respond to this evolving scrutiny.

FinCEN delays the Investment Adviser AML Rule to 2028, while the SEC proposes updates to “small entity” definitions affecting future rulemaking.

The GENIUS Act creates the first comprehensive U.S. framework for payment stablecoins, defining who can issue them, how a dual state and federal regime will work and what thresholds will trigger federal oversight. This Bates Research article explains the law’s key provisions, highlights open questions for states and regulators, and outlines what banks, fintechs and digital asset firms should be considering now.

The SEC’s Division of Examinations spotlights common Marketing Rule deficiencies tied to testimonials, endorsements, and third-party ratings. Here’s what advisers should review now.

As federal agencies pull back and state regulators expand their reach, financial institutions face more frequent state exams, varying standards, and intensified AML and consumer protection oversight. This article outlines practical steps to prepare for a state-driven supervisory environment.

The SEC Division of Examinations has released its 2026 Examination Priorities with a renewed focus on fiduciary standards, complex and illiquid products, cybersecurity and AI, AML and sanctions. Learn what these priorities mean for IAs, B-Ds, funds and other registrants.

Bates Group sponsors the 2025 NSCP National Conference in Orlando. Join us Oct. 26–29 for panels with Kurt Wachholz and Rhonda Davis.

The SEC’s focus on 529 Plan accounts, miscalculated investment advisory fees, and mutual fund share class selection continues into 2025–2026. Bates Group’s Regulatory and Investigations practice highlights key regulatory themes, emerging risks, and compliance challenges for financial institutions. Learn how firms can prepare for heightened scrutiny and strengthen practices in anticipation of enforcement activity.

The SEC has announced how its divisions are operating during the ongoing government shutdown. Examinations, registrations, and other non-emergency work have been deferred, while emergency response functions remain available.

Ponzi scheme lawsuits are costly and complex. Learn the warning signs, common legal pitfalls, and defense strategies every financial institution should understand to reduce risk.