News & Events –

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits. Jill Ehret (Director, Bates Compliance) will appear on the panel, moderated by Paul Tyrrell (Partner, Sidley Austin), with opening remarks by Bates CEO Jennifer Stout. October 5, 2020 at 1 p.m. Eastern, co-hosted by SIFMA and Bates Compliance.

Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Stop by our virtual exhibit booth to connect with Bates leaders, download materials and enter our annual raffle.

Join A. Christine Davis, Bates Managing Director of Forensic Accounting and PLI program co-chair, and Edward Longridge, Managing Director of Bates AML & Financial Crimes, at the  PLI Pocket MBA 2020: Finance for Lawyers and Other Professionals CLE Webinar. The Pocket MBA program is designed to improve understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Sept. 21-22, 2020 via Live Webcast

Labor Day is almost here, which means those lazy, remote days of summer are coming to a close. What did you miss when you powered down this summer? We have a roundup of all the important Bates news, events and alerts from July and August as well as a sneak peek of the next few months to help you head into Fall fully prepared. 

A. Christine Davis, Managing Director - Forensic Accounting and Economic Damages, will be presenting the program “Filing a Business Interruption Claim: Properly Calculating the Business Income Loss” on August 27, 2020. Presented by the Canadian Institute of Actuaries.

Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this complimentary webinar examining new compliance concerns arising out of the COVID-19 pandemic, including Branch Audits, Selling Away and more. Thursday, August 20, 2020 at 2:00 p.m. Eastern.

Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020,  “Capital Market Uncertainty in the Time of COVID-19 and the Potential Litigation and Regulatory Impact” when we look at 2020 in the context of past bear markets, compare the 1918 influenza pandemic to today, discuss the sectors and industries hardest hit by the economic disruption, and potential capital market-related litigation and regulatory enforcement matters on the horizon. Featuring (L-R) co-moderators Jack McGuire of Oppenheimer & Co. and Esther Cho of Keesal, Young & Logan, along with Greg Kyle, Bates Group Director and Expert. REGISTER HERE

The COVID-19 pandemic has created new compliance and regulatory risks for financial institutions. New avenues for money laundering have sprung up, presenting challenges for financial institutions facing pandemic-related resource constraints. Join Bates Group and Orrick Herrington & Sutcliffe LLP for this CLE webinar which will examine how financial institutions can adapt their AML programs to the new financial environment and regulatory expectations. Thursday, July 30, 2020 at 12 p.m. Eastern.

The NSCP 2020 Midwest Regulatory Interchange with the SEC, DOL and FINRA is taking place on July 24, 2020. Bates Compliance Managing Director Linda Shirkey will be speaking on the SEC Discussions panel at 9 a.m. (Mountain).

Join this virtual Compliance Roundtable on Wednesday, July 15, 2020, where our industry experts and guests will address Business Continuity Plan (BCP) design and implementation, including the unanticipated issues, gaps, and shortcomings that companies may have endured as a result of the COVID-19 pandemic.

Join Bates Group Director and nationally recognized expert Bruce Cramer when he presents “Reg BI for Litigators.” Topics will include an overview of the SEC’s Reg BI and the Customer Relationship Summary (“Form CRS”), duties, conflict of interest, disclosure, and care obligations, Reg BI’s impact on FINRA’s retail suitability rule, potential claims, discovery, and more.

Join Bates Group moderator Sheila Murphy and Managing Director A. Christine Davis, along with three accomplished employment lawyers as they explore and address employment-related litigation issues, including wage and hour and potential economic damages claims, stemming from COVID-19.

Join our panel of nationally recognized leaders for a conversation about what vulnerable and senior financial investor issues and litigation claims may look like going forward, recent cases and regulatory updates, and resources to assist firms in preventing exploitation. 

May 14, 2020 1:00 PM Eastern/10:00 AM Pacific

Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists including Bates Alternative Products Testifying Expert Robert “Bob” Reidy, as they discuss the effects that Covid-19 may have on claims against BDs/RIAs, insurance concerns and considerations and opportunities to expand your businesses. Hosted by Bates Group and IBDC.

May 12, 2020 3:00 pm Eastern/12:00 pm Pacific

The countdown is on! Join our complimentary Form CRS for IAs webinar Thursday, April 30, 2020. Specifically designed for SEC-registered IAs, this webinar will help you tackle Form CRS with confidence. Presented by Bates Compliance.

Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March 5-6  in Washington, D.C. and hear Bates Compliance Managing Director Robert Lavigne on the Vendor Due Diligence Panel.