Hotline Support

News Flashes

September 26, 2017
whitepaper

Amendments to Form ADV Part 1A

On October 1, 2017, regulatory changes go into effect for investment advisers. The amended Form ADV will require investment advisers to expand the information they report […]
September 28, 2017

Bates Group Introduces Arbitrator Evaluator™ — The Essential Information Source for Arbitrator Selection

Bates Group today introduced Arbitrator Evaluator™ — an essential information source and analytical tool to streamline and enhance the time-consuming process of identifying, ranking, and selecting […]
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 […]
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 […]
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 […]
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 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 […]
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 […]
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 […]