Bates Group

While reviewing the State of Financial Crimes 2024 report by @ComplyAdvantage; the survey findings pertaining to Artificial Intelligence-based compliance solutions stood out to me as a compliance professional who uses this technology. ow.ly/cePP50QtxWr #AICompliance

Prepaid card issuers must ensure that the third-party vendors they do business with meet certain reporting standards. Watch our quick video now on what's involved. And, to stay compliant, find out what Bates Compliance Training can do for your business. ow.ly/r6kR50QsbgI

Meet Bates Compliance Dir. Matt Summers at the NMLS 2024 Annual Conference & Training, Feb. 13-16. Learn about our comprehensive services, incl. state license acquisition & maintenance, independent reviews, compliance support, and training. Details: batesgroup.com/news/meet-bate…

FINRA just published its 2024 Annual Regulatory Oversight Report, providing insights and observations for member firms to strengthen their compliance programs. Topics range from Crypto Assets risks to cybersecurity, AML, and Reg BI issues. Learn more now ow.ly/5Wkh50QpWWy

Your RIA deserves more than cookie-cutter compliance support. Our expert consultants create compliance solutions tailored to meet your needs throughout the lifecycle of your RIA - whether you need targeted compliance support or an ongoing partnership: ow.ly/cJsf50Qkmu5

Facing FINRA and SEC Litigation and Arbitration cases? Start the new New Year by putting your stress on hold. Contact us now, and we’ll help you secure your consulting and testifying experts. ow.ly/pVEk50QnarJ

Market Manipulation remains a regulatory priority in 2024. Discover how our highly experienced team assists with CFTC, OCC, FINRA, SEC, and state regulator inquiries— and supports internal investigations— through industry-leading analysis of big datasets ow.ly/pzUC50Qn5ae

Happy New Year! Best wishes for a healthy, hopeful, and prosperous 2024 from Bates Group. BatesGroup.com

Happy Holidays from Bates Group! batesgroup.com

Your RIA deserves more than cookie-cutter compliance support. Our expert consultants create compliance solutions tailored to meet your needs throughout the lifecycle of your RIA - whether you need targeted compliance support or an ongoing partnership: ow.ly/cJsf50Qkmu5

TODAY at 1 pm ET: Stay ahead of compliance in the New Year by mastering the SEC's 2024 exam priorities in a complimentary webinar. Industry experts from Bates Group, Alphastar Capital, Docupace, InvestorCOM, and Scopus Financial Gain. Register now: ow.ly/VaqU50Qhw1f

Tomorrow at 1 pm ET: Stay ahead of compliance in the New Year by mastering the SEC's 2024 exam priorities in a complimentary webinar. Join industry experts from Bates Group, Alphastar Capital, Docupace, InvestorCOM, and Scopus Financial Gain. Register now ow.ly/lgyp50QhvS3

US consumers have certain rights regarding financial institutions, including the right to file complaints with the Consumer Financial Protection Bureau. Let's take a closer look at some common consumer complaints & how they are reported & resolved. youtu.be/m3MhiPA1soI

Don't miss this! Bates expert Rob Ayers addresses "FedNow's Instant Effect: Cross-Border Payment Dynamics" today at 6 p.m. on the CrossTech Virtual Roundtable (VRT). Get the details: ow.ly/SokJ50QfTzW

Subject to a Rights of Reinstatement-related inquiry or exam? We've helped many firms, including three of the largest with ROR-related settlements and dozens more with Share Class matters. Learn how our deep experience & significant resources can help: ow.ly/pnP350QceWl

Join part two of our sit-down with compliance attorney Joseph Cutler, Firmwide Chair Fintech Industry Group, of Perkins Coie LLP at MTRA 2023. Joseph discusses the importance of tailoring an AML program and risk assessment to an organization's risk profile youtu.be/ercjq-hryCE

A Look At 2023 FINRA Arbitration Award Stats: What’s Trending, What’s Not linkedin.com/pulse/look-202…

RIAs: Are you over the $110MM AUM threshold and need to transition to the SEC in 2024? Let us help you navigate the move. We'll leverage the knowledge of our experienced staff to explain the content and implementation of all required documents. Contact us: ow.ly/Pptw50Q8v0Y

Today, Thur., Nov. 16, at #CrossTechWorld2023: Join “Navigating the Global Landscape: Transformations of the Financial Services Industry,” moderated by Bates Compliance Consulting Expert Rob Ayers at 4:30 p.m.: ow.ly/E5BV50Q73Vp #crosstech2023#CrosstechConference2023

At the 2023 Securities Industry Symposium in St. Louis, delve into the securities and artificial intelligence world during highly informative discussions co-hosted by the Bar Association of Metropolitan St. Louis and Greensfelder. ow.ly/eMAu50Q7A4o