News & Events –

Both the FFIEC Manual and the MSB Examination Manual provide frameworks to assess MSB AML program integrity and effectiveness through independent reviews. Learn insider strategies for preparing, executing, and excelling in your independent AML program review—ensuring regulatory excellence and operational resilience.

Navigate the complex world of BaaS with confidence. This essential guide reveals how banks and fintechs can transform regulatory challenges into competitive advantages, ensuring compliance, innovation, and consumer trust.

Key Takeaways from the SEC's National Compliance Outreach live webcast for investment advisers and investment companies on November 7, 2024.

Join Bates Group and sponsor McCarthy Hatch for a live program on CFPB data collection.

Discover how strategic KPIs and KRIs can transform your AML compliance from a regulatory burden to a powerful business intelligence tool. 

AML Officers face a complex landscape of potential challenges when working with vendors. Robust ongoing due diligence can help avoid potentially damaging or costly landmines.

Bates Group is a proud partner of the 2024 Crosstech World Conference, November 19-21 in Hollywood, Florida.

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.

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

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.

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.