April 16, 2019
In June 2018, Bates Group published an article reporting on deficiencies identified by FINRA in its exam findings which may trigger further scrutiny. In that article […]
February 22, 2019
In our last review of developments concerning variable annuities and life insurance, Bates discussed the SEC’s issuance of a comprehensive new rule proposal intended to create a “layered disclosure approach” […]
February 15, 2019
For legislators and regulators, writing rules for crypto-related assets requires balancing the tension between innovation and entrepreneurship, and between sound markets and investor protection. In previous articles, […]
February 15, 2019
The priorities of the congressional committees that oversee financial services are changing. The contours of that change are beginning to take shape as Democrats take control […]
February 15, 2019
Last week, Bates sent a time-sensitive Alert concerning FINRA’s new Share Class Initiative. The initiative is similar to the SEC’s Share Class Initiative that focused on mutual funds […]
January 25, 2019
In his latest annual priorities letter to members, FINRA Chief Executive Officer Robert Cook emphasized that FINRA will be monitoring firm developments “to identify risks and assess their […]
December 27, 2018
SEC Office of Compliance Inspections and Examinations (OCIE) has announced their exam priorities for the upcoming year. You can read the press release here.
December 6, 2018
In late August, four registered financial service firms settled SEC charges of misleading retail investors about the efficacy of their quantitative models. The SEC alleged that […]
December 2, 2018
Your relationship with your consulting or testifying expert is a critical component to your case. Mastering best practices when working with an expert will better support […]