Bates News, Bates Research | 09-02-22
2022 Summer Roundup – What You Missed, What Is Happening This Fall
Bates In the News:
We've Moved! Bates Relocates to Lincoln Center in Portland - Bates Group
Bates Group Expands its National MSB, FinTech, and Cryptocurrency Practice - Bates Group
Bates Welcomes New Consulting and Testifying Experts – June 2022 - Bates Group
Bates Industry Articles and Alerts:
August
- On the Radar with FINRA: Remote Offices, Expungements, Customer Account Transfers, Digital Signature Forgeries - Bates Group
- New Developments for New York BitLicense Holders and Applicants - Bates Group
- Is Past Really Prologue When It Comes to Your Mutual Fund Share Class Selection, Conflicts, and Disclosures? - Bates Group
- SEC Staff Offers Additional Guidance on BD and IA Conflicts of Interest - Bates Group
- The SEC Marketing Rule - What You Need to Know - Bates Group
July
- FINRA Proposes Updates to Supervisory Rule on Home Offices - Bates Group
- Reg BI Makes FINRA’s Dispute Resolution Stats List and Other Notable Arbitration Developments - Bates Group
- SEC Case finding CCO “Aided and Abetted” Raises New Questions; Is a Liability Framework Next? - Bates Group
June
- Fighting Elder Financial Exploitation: FinCEN Releases Behavioral and Financial Red Flags, NASAA Publishes Guidance on POAs, CFTC Releases Warnings - Bates Group
- A Comprehensive Bi-Partisan Approach to Cryptocurrency: New Senate Bill Seeks to Establish Digital Asset Framework and Legal Oversight - Bates Group
- Regulatory and Legislative Action on SPACs Gaining Momentum: SEC Rule Proposal and Senate Legislation Introduced; Class Actions Growing - Bates Group
- Non-Fungible Tokens: a Beginner’s Perspective - Bates Group
- SEC Proposes Amendments to ESG Disclosure Rules and Forms - Bates Group
Bonus Track:
Here's a fun song to get you moving and grooving with that summer feeling.
Join us this Fall!
- September 7th - ACAMS Chapter Meeting: Cryptocurrency from A to Z webinar – Brandi Reynolds, Managing Director, AML & Compliance, is speaking.
- September 13th - Southeast Women in Finance (SWIFs) Virtual Lunch and Learn, Fireside Chat: Crypto in the News – Brandi Reynolds is speaking.
- September 19th - SIFMA C&L Regional Seminar, Charlotte, NC – Meet up with Bates Leaders and Experts.
- September 19-22nd - MTRA Annual Conference, Fort Worth, TX – Meet Bates AML Expert and Strategic Advisor Connie Fenchel.
- September 30th - FSDA Industry Outreach Program , Boca Raton, FL – Join Jennifer Stout, Bates CEO and FSDA President. Bates is a diamond sponsor.
- October 5-7th - South Carolina Blockchain Conference , Charleston, SC – Brandi Reynolds is speaking.
- October 17-19th - NSCP National Conference, National Harbor, MD – Managing Director Hank Sanchez is speaking. Visit the Bates Compliance Booth # 25 and connect with Director Rory O’Connor.
- October 10th - IAMTN Summit 2022, London, UK – Bates Advisor and Consultant Rob Ayers is speaking.
- October 10-13th - InFin Money Trends 2022, Austin, TX – Brandi Reynolds and Connie Fenchel are presenting.
- November 3-6 - NAWL General Counsel Institute, New York City, NY – Join Bates Managing Director Jennifer Cunningham and Bates Expert Sheila Murphy. Bates is a sponsor.
Need Assistance?
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