Bates Group

In May 2019, we sent out an Alert warning that the SEC’s Enforcement Division had initiated investigations against firms that did not self-report by the deadline of the […]

It can be daunting for you and your firm to have to undergo an SEC examination. The reality is that at any given moment the SEC’s […]

As described in Bates’ last review of congressional initiatives on Anti-Money Laundering / Countering the Financing of Terrorism (AML/CFT), the House Financial Services Committee has adopted an aggressive […]

Last month, Bates described a New Jersey proposal to apply uniform fiduciary standards to broker-dealers and investment advisers for recommendations and advice they may give to New Jersey […]

The SEC voted on June 5th 2019 to approve a set of proposals setting new conduct standards for broker-dealers. Regulation Best Interest (“Reg BI”) is part of a package […]

An Engagement Adviser[1] in the SEC Office of Investor Advocate (OIA) has prepared a valuable overview report on the SEC’s efforts to protect seniors from financial exploitation. The 25-page […]

The SEC’s Enforcement Division has now initiated investigations against firms that did not self-report by the deadline of the SEC’s Share Class Selection Disclosure Initiative. (See Bates Alert for background […]

Only a few weeks ago, Bates described an SEC Office of Compliance Inspections and Examination (OCIE) Risk Alert that highlighted privacy and information security issues raised during examinations of registered […]