News & Events

The SEC has updated its Marketing Rule FAQs with key clarifications on extracted performance and portfolio characteristics. Advisers who advertise performance should review this guidance to ensure compliance with Rule 206(4)-1 and avoid misleading presentations.

RIA acquisitions present vast growth potential—but success demands strategy. Learn how due diligence, synergy, and cultural alignment shape seamless transactions and drive long-term value creation.

Join us for a timely and insightful live webinar exploring the shifting regulatory and legal landscape for fintech, financial services, and consumer protection under the new Trump administration.

Connect with Jason Fitch at the 2025 DC Blockchain Summit on March 26 in Washington, D.C. to learn more about Bates Group's consulting services, audits and reviews, training, and other compliance support for blockchain and digital asset businesses. 

AI agents are revolutionizing the crypto market, automating trades, analyzing vast datasets, and optimizing decentralized finance. With AI-driven tokens gaining momentum, understanding the balance between hype and real utility is crucial. Explore how AI is shaping blockchain ecosystems and its future impact in our latest article.

In a recent article from InvestorCOM, Armin Sarabi shares key insights on the evolving fiduciary rule, compliance best practices, and technology’s role in staying ahead.

Bates Group is a proud sponsor of the 2025 SIFMA C&L Annual Seminar, March 23-26, 2025 in Austin, Texas.

Join Bates Group at the 2025 IAA Investment Adviser Compliance Conference, March 5-7, 2025 in Washington, D.C. to learn about practical insights and best practices that can help you maintain a successful compliance program.

AI agents are transforming industries with autonomy, learning, and decision-making capabilities. Discover their types, applications, and ethical considerations in this comprehensive guide to the future of intelligent automation.

We’re excited to share that Brandi Reynolds will be speaking at Mastercard’s Global Fintech Week Event February 24, 2025

FINRA’s 2025 Regulatory Oversight Report highlights key compliance priorities, including AML system testing, FINOP obligations, AI in financial services, investment fraud risks, and third-party vendor vulnerabilities. Our Bates Comparison Chart tracks how these priorities have evolved year over year.

Connect with Bates Group in San Juan, Puerto Rico for the 21st Annual Puerto Rican Symposium of AML.

Regulatory opacity and overreach are forcing legitimate crypto firms out of banking. Learn how outdated policies impact financial access and what reforms are needed to fix the system.

Discover how outsourced Chief Compliance Officer (CCO) solutions can help RIA firms enhance compliance, manage costs, and drive growth. Learn the seven key benefits today.

Connect with Bates Group at the 2025 NMLS Annual Conference & Training in Atlanta from February 11-14

Bates Group sponsors "One Great Night," February 4, 2025, hosted by SWIFS and FSDA. Join us for industry insights, networking, and a wine auction supporting Pace Center for Girls.