News & Events –

Join Bates Compliance Managing Director Hank Sanchez at the NSCP Interactive Compliance Labs, April 18th, 2024 on location at California Sate University, Long Beach.

With the increase in the number of financial institutions that are banking Fintechs, there has been a corresponding increase in regulatory scrutiny over this space. In this article, we look at the three fundamental disconnects occurring in the AML and Fraud risk management systems of financial institutions that bank Fintechs, and what can be done to avoid falling under a regulatory consent order.

Bates Group Managing Director Christopher Riper will be speaking on the “Continuing Challenges with Off-Channel Communications” panel at FMA's 2024 Securities Compliance Seminar in Chicago - Thursday, April 18 from 1:15 to 2:15 pm.

Download this illustrative and detailed chartbook featuring U.S. economic and capital markets analysis for 2023. From Bates Group Director Greg Kyle and CEO Ben Pappas.

Bates Compliance leader Brandi Reynolds will be attending ACAMS Assembly Hollywood, April 8-10 in Hollywood, FL.

Bates Group practice leaders Alex Russell and Rhonda Davis are featured as speakers at the SIFMA 2024 Chief Risk Officers' Roundtable, April 4-5 in Chicago. Bates is a proud sponsor.

The SEC has announced its adoption of amendments to the internet adviser exemption governing SEC registration eligibility for certain internet investment advisers. Any adviser no longer eligible under the exemption must withdraw its SEC registration and register in one or more states by filing a Form ADV-W by June 29, 2025.

The SEC has issued a press release announcing settled charges against two investment advisers for making false and misleading statements about their purported use of artificial intelligence (AI). The firms agreed to settle the SEC’s charges and pay $400,000 in total civil penalties.

Bates is a proud sponsor of the 2024 SIFMA C&L Annual Seminar, March 17-20, 2024 in Orlando, Florida.

For managers at financial institutions to understand AI risk, they first need to conduct a thorough inventory of what AI is being used, by whom, and for what purpose inside their firm. Regardless of where an institution is in its AI journey, it’s best to take the time to conduct an AI inventory and risk assessment to identify and remediate risks in order to stay safe and sound.

Bates Group, a leading provider of custom compliance support and services for RIAs, has completed the acquisition of select client engagements from D Nauss and Associates LLC, founded by industry veteran Donna Nauss in 2009. This strategic acquisition underscores Bates Group’s dedication to growth and continued commitment to the RIA compliance marketplace.

Meet Bates Compliance leaders at the 2024 IAA Investment Advisor Compliance Conference, March 6-8, 2024 in Washington, D.C. Managing Direcctor Kurt Wachholz is a featured speaker.

2023 was an interesting year in FINRA dispute resolution. While customer filings dipped to a near-decade low, intra-industry cases grew 50% year-over-year. Despite the shift, core dispute themes remained stable, with top customer-member controversies and security types holding steady. We take a look at the entire year's statistics and trends in this new report.

Bates is a proud sponsor of the 2024 IBDC/RIAC Annual Risk Management Conference, March 4-6, 2024 in San Diego, California. Bates cybersecurity expert Patrick Cox will be speaking.

As a leading provider of financial consulting services, Bates Group has extensive experience defending allegations of transaction fraud on brokerage or bank accounts through expert analysis and testimony, as well as assisting financial institutions in preventing and deterring transaction fraud.