batesgroup.comCrawled Oct 16, 2026
The company helps banks, fintechs, lenders, and other financial services companies manage consumer-facing regulatory requirements.
The company provides proactive and reactive services to prepare for, respond to, and defend against litigation, regulatory, and reputational fallout from cyber incidents, privacy events, and technology-driven compliance obligations.
The company helps clients handle electronically stored information (ESI) defensibly, from internal investigations and regulatory inquiries to litigation and crisis response scenarios.
The company helps clients manage the cost, complexity, and defensibility of discovery across litigation, arbitration, regulatory inquiries, and internal investigations.
The page discusses how account takeover can fuel market manipulation without withdrawals, along with warning signs, regulatory risks, and controls firms should consider.
Bates Group MD Armin Sarabi attends the Kingdom Advisors Redeeming Money Conference Feb. 11-13, blending faith and finance for professional growth.
FINRA censures a large member firm with a $325,000 fine for failing to supervise electronic signatures, citing missed red flags and inadequate controls.
The page discusses rising enforcement risks in prediction markets as regulators increase scrutiny of insider trading, compliance, and event contract oversight.
Jennifer Selliers of Bates Group attends ICI’s inaugural CRL Conference in Nashville, focused on compliance, risk, legal, SEC priorities, and AI.
FinCEN permanently ends CTA beneficial ownership reporting for U.S. entities while CDD obligations remain for covered financial institutions.
Kurt Wachholz of Bates Group joins Compliance in Context to discuss how firms can build compliance officer judgment and reasoning in the AI era.
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