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February 5, 2018

Kutak Rock Attorney Wins Summary Judgment Regarding Annuity Distributions

Kutak Rock attorney Gil Boyce won a significant summary judgment for a major financial services client and one of its financial advisers who were accused of […]
January 25, 2018

Annual Investment Advisor Regulatory Review and Outlook (2017)

As we kick off 2018, it’s important to take a look back across the regulatory landscape on what transpired over the course of 2017 and look […]
January 9, 2018

FINRA Announces 2018 Regulatory and Examination Priorities

FINRA has announced their regulatory and examination priorities for the upcoming year. You can read the letter, with an introduction by CEO Robert Cook, at the […]
January 4, 2018

State News to Watch in 2018

A flurry of year-end announcements reveals a determination by state advocates toward more aggressive state protection of investors and consumers. NASAA published results from a recent […]
November 16, 2017

Bates Alert: FinCEN Customer Due Diligence Rule Implementation Deadline Approaching

Covered financial institutions must assess and enhance their AML programs to be in compliance with the specific requirements of the new Rule by May 11, 2018. Is […]
November 9, 2017

President Signs New Elder Abuse Prevention and Prosecution Law as NASAA Rolls out New Guidance

Political momentum continues to drive lawmakers’ efforts to combat elder financial abuse. In our last report on the subject, Bates considered the current state of play as indicated […]
November 1, 2017

Expert Spotlight: David S. Zweighaft

David Zweighaft (CPA/CFF, CFE) is a Fraud Subject Matter Expert with over twenty-five years’ experience serving the legal and financial services communities as both a consultant and […]
October 12, 2017

NASAA Issues Annual Securities Enforcement Report and Expands Resources for IAs and BDs

In his first address to the North American Securities Administrators Association (NASAA), newly-elected and third-time President Joseph Borg identified key priorities for his upcoming term. He emphasized cooperation between state […]
October 5, 2017

New SEC, State Regulator Initiatives and Filings Amid Cyber Breaches

Testifying at an oversight hearing before the Senate Banking Committee on September 26, 2017, SEC Chairman Jay Clayton addressed concerns over the SEC’s disclosure of a 2016 cyber-security […]