News & Events –

Join Bates Group at the 2025 FINRA Annual Conference, May 13–15 in Washington, D.C. Connect with our experts on key compliance, regulatory, and litigation issues shaping the financial services industry.

Join Bates Group’s Brandi Reynolds and fellow industry leaders on May 13 for a live webinar exploring regulatory shifts impacting digital assets and investment advisers.

Join Bates Group at the 2025 SIFMA Anti-Money Laundering and Financial Crimes Conference in Washington, D.C., May 12–14. Meet our AML and compliance experts as they engage on key topics like regulatory developments, AI, sanctions, digital assets, and emerging fraud trends.

Explore Bates Group’s 2024 U.S. Economic and Capital Markets Chartbook for detailed analysis of equity markets, credit, private equity, and the broader economy. Tailored for financial professionals, regulators, and counsel, this essential resource highlights key trends shaping the financial landscape. Plus: Bonus infographic showcasing 100 years of market history.

Join Bates Group at ACAMS Assembly Hollywood, April 28–30 at The Diplomat Beach Resort. Connect with our experts and hear Brandi Reynolds and Robin Garrison speak on emerging AML/AFC compliance trends. Explore top sessions, earn CE credits, and stay ahead in the fight against financial crime.

Struggling to keep pace with BSA/AML and OFAC compliance demands? Discover how outsourced compliance services can provide flexible, expert support tailored to your needs, from interim leadership to risk assessments, monitoring, and training.

Discover the key trends shaping customer expectations in the evolving payments industry. From real-time transactions to sustainable practices, explore how payment providers can stay competitive and meet customer needs in 2025 and beyond.

Bates Group is a proud Sponsor of the FSDA’s 2025 Industry Outreach program “Riding the Waves of Possibility,” live and online April 10th from 1:30 PM to 5:00 PM at the Renaissance Boca Raton Hotel in Boca Raton, Florida.

Join Bates Group and Polsinelli on April 17 at 11 AM ET for a live discussion on crypto, fintech, and bank partnerships. Learn how to avoid legal pitfalls, navigate DeFi regulation, and prepare for what’s next in financial innovation.

Explore the latest compliance challenges and regulatory trends in Banking-as-a-Service (BaaS). Join industry experts from Bates Group, Nelson Mullins, Kraken, and Pacific West Bank for a live CLE webinar on April 15. Learn how to strengthen oversight, manage third-party risk, and future-proof your fintech partnerships.

2025 brings new complexity to the fight against financial crime. Explore the latest trends in AML, fraud, sanctions, and AI—including regulatory shifts and emerging threats—and discover how financial institutions can stay agile in a rapidly evolving risk environment.

Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.

Bates Group Managing Director and Senior Growth Officer Brandi Reynolds, CAMS-Audit, CCAS, is quoted in a recent Bloomberg Tax article on the future of the Corporate Transparency Act following a major shift in reporting requirements from FinCEN.

An underperforming AML program poses regulatory and reputational risks for financial institutions. This article outlines how applying a structured root cause analysis can identify systemic issues across people, processes, and technology, guiding institutions toward targeted remediation and enhanced regulatory alignment.

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. 

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.