News & Events – Bates News

Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.

If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you are not alone. Since the outbreak of the coronavirus (also referred to as COVID-19) and more recently, the precipitous volatility of the financial markets, financial firms have been deluged with questions from just about every stakeholder group about how to respond. Regulators are weighing in as well. Bates looks at some of the efforts to prepare and reassure everyone out there.

Bates Group is proud to welcome new Managing Director Jennifer L. Cunningham. She is an accomplished and seasoned financial services professional with over 20 years of experience in broker-dealer branch office management, risk and supervision, suitability, operations, sales support, Human Resources and customer communications. A former Director at UBS in New Jersey and New York City and former Vice President at the Merrill Lynch Fifth Avenue flagship office, Ms. Cunningham comes to Bates from another consulting firm, where she provided expertise in support of broker-dealer litigation and customer complaint matters, prepared FINRA broker-dealer New Member Applications, and served as lead project manager for specialized regulatory and compliance consulting retentions.

Bates Group Expert and Consultant William Jannace is quoted in a new article from Investment News. The article discusses FINRA's interest in brokerage bank sweep accounts at a time of low commissions for brokers.

Read the full article at Investment News.

Bates Group is pleased to announce the acquisition of The Advisor's Resource, Inc. (TARI), a leading compliance consulting firm based in Houston, Texas. Veteran compliance leader and TARI Founder & President Linda Shirkey will join Bates Group, along with Shelley Dragon, TARI’s director of client service, as members of the Bates Compliance team. The acquisition further expands Bates Compliance with greater access and resources to service Registered Investment Advisers (RIAs), as well as private equity and hedge fund firms across the United States.

Last month, we reported on FINRA's announcement that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Bates Compliance helps firms achieve Reg BI readiness.

FINRA has announced that they will be conducting SEC Reg BI readiness assessments to better understand companies' Reg BI implementation preparations. Learn about how Bates Compliance and our Reg BI Readiness Workshops can support your firm’s SEC Reg BI implementation efforts.

Bates Group is proud to introduce our newest experts and consultants: Gontran de Quillacq, Caryn Miller, Michael Dorsey, Amy Ott, Mark Filler, Tali Taft, Paul Horn and Debra Vaughan.

Bates Group Leaders and Experts will be appearing at several industry events around the country this week.

Bates Managing Director and Expert Consultant Hank Sanchez is quoted in a new article from The Wall Street Journal.

To support your Reg BI implementation efforts, Bates Compliance is rolling our Reg BI Countdown with action items to keep your compliance team on track as the June 30, 2020 implementation deadline approaches.

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the SIFMA C&L New York Regional Seminar October 22nd and at the 2019 NSCP National Conference October 23rd.

Bates Compliance Managing Director Robert Lavigne is quoted in a new article from Investment News.

Bates is proud to introduce our newest experts and consultants: Donna Bartlett, Frank Giorgio, Richard Rogoff and William Webb.

Bates is proud to share the publication of “With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?” by Managing Director and Expert Consultant Hank Sanchez, Esq. Look for Hank at the 2019 NSCP National Conference, October 21-23 at the Hilton Baltimore. 

Bates Group welcomes Dennis Greenberg as the new Managing Director of Business Development for Bates AML and Financial Crimes.