Bates sets the standard in financial services consulting. We are committed to being the world's leading litigation, regulatory, AML and compliance experts.
Portland, Oregon
Joined January 2013
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Bates Group retweeted
We are inviting all women in the industry to attend.
Thank you to both of our sponsors, @BatesGroup and Global Innovations Bank!
We are requiring a fee of $25.00 for registration. Registration is required: lnkd.in/guQSN9M6.
#remittances #crossborderpayments
Bates Group retweeted
As a Registered Investment Adviser, you deserve more than cookie-cutter compliance support. Our expert consultants partner with you to create ongoing compliance solutions — tailored to your needs. Contact us today to learn more. ow.ly/Ofoc50PmVUJ
Bates Group retweeted
Discover what banks expect from their partners and gain a deeper understanding of the red flags they look for to ensure a strong risk management framework in our webinar, “Managing Risk: What Banks Want You to Know,” Tuesday, June 20. Register Now ow.ly/KM8a50OIvlV
Bates Group retweeted
BrokerCheck helps investors make informed choices about the brokers and member firms with which they conduct business by providing registration and disciplinary history to investors at no charge.
To enhance the investor-protection benefits of Rule 4111, we have amended Rule 8312 to release information on BrokerCheck as to whether a particular member firm or former member firm is currently designated as a Restricted Firm.
Learn more: bit.ly/3ninaXi
ALT Regulatory Notice 23-07 FINRA Adopts Amendments to FINRA Rule 8312 to Release Information on BrokerCheck Relating to Designation as a Restricted Firm Effective Date: June 1, 2023
Bates Group retweeted
Get IAR CE state credit and in-the-know about the New SEC Investment Adviser Marketing Rule in a fun and interactive Mad Men-themed animated training course for companies and individuals. Walk through the New Rule. Are you impacted? Learn more: ow.ly/zy7w50NFYZW
Bates Group retweeted
The FTC says that Romance Fraud is one of the most costly forms of consumer fraud in the United States.
ow.ly/50kF50NnRqc
Bates Group retweeted
What is a Money Services Business (MSB) — and what is required to operate as one in the US? With Matt Summers, Director, Money Service Business Practice Area bit.ly/3ECfzsj
#moneyservicesbusinesses #MSB #fintech #cryptocurrency #AML #compliance #AMLcompliance #crypto
Bates Group retweeted
On-Demand Webinar from @NICE_Actimize and @BatesGroup on Regulation Best Interest (#RegBI) Compliance is now available here: lnkd.in/eqSJAS7i
#Compliance #regulatory
Bates Group retweeted
What is short selling? You might've heard of it in the wake of the meme stock events of Jan ’21.
We proposed rule changes @SECGov to bring greater transparency into short selling—for regulators & investors. I think short selling would benefit from greater visibility & oversight.
Bates Group retweeted
Under constant pressure from regulators, internal stakeholders, and clients, Chief Compliance Officers are facing many issues with not enough time or resources. From single engagements to ongoing compliance outsourcing, we can design a plan to help. bit.ly/3EMwS8k
Bates Group retweeted
Welcome Joan Marie Asher to Bates as a Consulting Expert. Her career in financial services includes capital markets, hedge funds, broker-dealers, and private equity. She engages with financial institutions, fund admins, legal teams, vendors, and clients. bit.ly/3QdtVTx
Bates Group retweeted
We're expanding our MSB, FinTech, and Cryptocurrency Practice — adding 3 leading Money Services Business industry professionals: AML trailblazer Connie Fenchel as Strategic Advisor; Catherine Snyder as Program Director; and Justin Vick as Senior Consultant bit.ly/3RnrcI2
Bates Group retweeted
Welcome, Jeffrey L. Baliban to Bates as a Testifying Expert. For more than four decades, he's focused on resolving complex commercial disputes by providing independent evaluation studies of damages and economic impact on the involved parties. bit.ly/3aGnJTS
Bates Group retweeted
The Evolution of Crypto Regulation
Until recently, the #cryptocurrency world was a wild west for regulators. But as the industry has matured, things have changed. In our blog, (bit.ly/3Q5zqnB), we spoke with 4 industry experts to get their take on the topic. Here's what they said:
Bates Group retweeted
A new SEC proposal intends to make ESG disclosures more “consistent, comparable and reliable,” and “decision-useful” for investors. Those firms affected could include RIAs, certain advisers exempt from registration, registered investment companies, others bit.ly/3GykoC8
Bates Group retweeted
What's a Non-Fungible Token (NFT)? Learn what they are, how they work, and their potential risks and benefits. Read "Non-Fungible Tokens: a Beginner’s Perspective" by Managing Director Brandi Reynolds. batesgroup.com/news/non-fung…
#NFT #OFAC #AML #amlcompliance
Bates Group retweeted
Put our Bates Compliance Expert Consultants to work for you in support of your compliance efforts. Let's touch base now at the 2021 NSCP NATIONAL CONFERENCE, Booth 10. Join us! batesgroup.com/news/2021-nsc… #NSCP
Bates Group retweeted
Today marks 19 years since the tragic and devastating events of 9/11. In remembrance of the many lives lost, I am pausing for a moment of reflection in their honor... lnkd.in/dmuC2-r
#NeverForget #PatriotDay
