News & Events

Join us for a virtual program with Castellum.AI about the importance of compliance when banks engage with fintech partners

Essential SEC compliance seminar for investment professionals - CCOs and senior compliance personnel: Join key sessions on security, marketing rules, and regulatory requirements.

Bates Group Strategic Advisor Connie Fenchel, CAMS is at the INFiN Money Trends 2024 Conference, October 28-30 in Tampa.

Join Bates Group at the NSCP National Conference, October 27-30, 2024 in Dallas, TX. We are a proud sponsor of this year's event.

Meet Bates Fintech and Compliance leaders at the Money20/20 USA conference October 27-30, 2024 in Las Vegas

The SEC Division of Examinations has released its exam priorities for fiscal year 2025, outlining a comprehensive approach to oversight that emphasizes both traditional and emerging market risks.

Join Bates Group Managing Director Jennifer Cunnungham at the SIFMA C&L 2024 New York Regional Seminar - Wednesday, October 16, 2024 in New York City.

As MSBs and Fintechs get larger and more complex, they may find examiners, auditors, and bank partners asking about their ERM.  In Part 2 of this article, we address the role data, analytics, and quality reporting procedures play in terms of providing management with decision-supporting information across the two important areas of an ERM Program – specifically, the Risk Assessment and Monitoring.  

Join Bates Director & Expert Joe Thomas at the SIFMA C&L 2024 Regional Seminar on September 23, 2024, in Charlotte, NC.

As Money Services Businesses grow, implementing Enterprise Risk Management becomes crucial. This article guides Compliance Officers in starting development of an ERM Program, looking beyond financial crimes risks and focusing on comprehensive risk identification and risk appetite.

Join us for an insightful live talk on industry-leading best practices for customer identification compliance. Our expert panel will discuss practical guidance for complying with the intricacies of Know Your Customer (KYC) and Know Your Business (KYB) requirements.

Join Bates Group at the ACFCS Charlotte Fincrime Summit on September 4, 2024. Explore the latest trends and regulatory issues affecting the financial crimes compliance industry at this in-person event.

The Treasury Department's final anti-money laundering (AML) rule for investment advisers mandates risk-based AML programs for most SEC-registered advisers. While some industry concerns were addressed, significant preparation is needed.

Join industry experts from Bates Group, Alviere, Adam Atlas Attorneys at Law, and McCarthyHatch, who will share their knowledge and experience to help you master Remittance Transfer Rule requirements, avoid penalties, and stay current with updates.

The CFPB has proposed an interpretive rule classifying paycheck advance loans under TILA, which could require APR disclosures for these rapidly growing products. Financial institutions are reassessing their offerings amid increasing scrutiny and potential reputation risks. While supporters argue it protects consumers, opponents claim it's unnecessary for advances on earned wages.

Understanding the true impact of U-5 commentary on employment prospects is critical for both advisors and firms. Our latest analysis of FINRA data provides insights for assessing damages and potential risks.