Bates Group

Expert Insights: The Compliance Risks of Artificial Intelligence.
While reviewing the State of Financial Crimes 2024 report published by ComplyAdvantage; the survey findings pertaining to Artificial Intelligence-based compliance solutions stood out to me as a compliance professional who uses this technology.
https://ow.ly/53bC50QtxWq

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. https://ow.ly/eKtI50QsbgH

Meet Bates Compliance Director Matt Summers at the NMLS 2024 Annual Conference & Training, Feb. 13-16, in San Antonio, TX. Connect with Matt and learn more about our comprehensive services, including state license acquisition and maintenance, independent reviews, compliance support, and training.
Details: https://www.batesgroup.com/news/meet-bates-at-the-2024-nmls-conference

Alert: FINRA just published its 2024 Annual Regulatory Oversight Report, providing insights and observations for member firms to strengthen their compliance programs. Topics of focus range from Crypto Assets risks to cybersecurity, AML, and Reg BI issues. Learn more now at https://ow.ly/vsbM50QpWWB

Your RIA deserves more than cookie-cutter compliance support in 2024. The expert consultants at Bates partner with firms to create compliance solutions tailored to your needs throughout the lifecycle of your RIA. Whether you need targeted compliance support or want to build an ongoing partnership with someone who understands your RIA business model, Bates can help deliver consistent results. Get Started with Ongoing Compliance Consulting:
https://ow.ly/k7Tk50Qkmu7

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. https://ow.ly/HHxO50QnarK

Market Manipulation will remain a regulatory priority again in 2024. Discover how our highly experienced team assists firms with inquiries from the CFTC, OCC, FINRA, SEC, and state regulators — as well as supporting internal investigations — through industry-leading analysis of big datasets. Explore how we can assist you: https://ow.ly/79TL50Qn5ac

Happy New Year! Best wishes for a healthy, hopeful, and prosperous 2024 from Bates Group.
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Happy Holidays from Bates Group!
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Your RIA deserves more than cookie-cutter compliance support in 2024. The expert consultants at Bates partner with firms to create compliance solutions tailored to your needs throughout the lifecycle of your RIA. Whether you need targeted compliance support or want to build an ongoing partnership with someone who understands your RIA business model, Bates can help deliver consistent results. Get Started with Ongoing Compliance Consulting:
https://ow.ly/6QIC50Qkmu6

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. Discover how to:
• Navigate the convergence of best interest principles across Reg BI and DOL's Fiduciary requirements,
• Provide investment advice to clients across products, strategies, and account types,
• Processes to determine the investment advice is provided in clients' best interest and
• Use technology to consider reasonably available alternatives (RAA) products, account types, and rollover recommendations.
To join us TODAY at 1 pm ET — register now: https://ow.ly/ozwt50Qhw1g. Limited spots are available!

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. Industry experts from Bates Group, Alphastar Capital, Docupace, InvestorCOM, and Scopus Financial Gain. Discover how to:
• Navigate the convergence of best interest principles across Reg BI and DOL's Fiduciary requirements,
• Provide investment advice to clients across products, strategies, and account types,
• Processes to determine the investment advice is provided in clients' best interest and
• Use technology to consider reasonably available alternatives (RAA) products, account types, and rollover recommendations.
To join us tomorrow at 1 pm ET — register now: https://ow.ly/O6UQ50QhvS0. Limited spots are available!