News & Events – Bates Research

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.

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.

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.

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.

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 Learn how outdated policies impact financial access and what reforms are needed to fix the system.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.

Bates Group provides expert guidance and tailored solutions to help organizations mitigate AI-related risks, ensure regulatory compliance, and optimize AI strategies for long-term success. As the financial landscape evolves, institutions that effectively leverage AI while managing its risks will position themselves as industry leaders in innovation and efficiency.

Navigate your next Compliance Management System review with confidence. This practical guide outlines key review components, documentation requirements, and proven preparation strategies. Learn how to demonstrate the effectiveness of your CMS program while strengthening your overall compliance framework.

Explore the six key pillars of a risk management framework tailored for banks, MSBs, and crypto firms in the transformative Banking as a Service (BaaS) era.

As regulatory scrutiny intensifies, BSA Officers face increasing challenges in executing their vital risk management responsibilities. Our latest article explores common hurdles these compliance leaders encounter and provides actionable strategies for maintaining effectiveness while protecting their careers.

Discover how the CFPB's latest regulatory agenda could impact fintechs and compliance efforts in 2025. Key insights inside.

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.

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.

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.