News & Events –

Join Robert Lavigne, Managing Director, Bates Compliance Solutions as he walks us through a 20-minute webinar focusing on the 2018 SEC-OCIE Exam Priorities and what compliance professionals should be focusing on now.

Bates Consulting and Testifying Expert Dr. Shane Shook will be a featured speaker at an upcoming webinar titled Cybersecurity Threats to Banks and Financial Institutions: What to Know and What to Do, on November 30, 2017 from 12-1 p.m. EST. This complimentary CLE webinar is presented by Cadwalader, Wickersham & Taft LLP.

Bates Group is pleased to announce that Michael Bernardo, Bates Group Managing Director, Compliance Solutions, will be a featured speaker at the 2017 Securities Symposium, sponsored by Greensfelder, Hemker & Gale, P.C. and The Bar Association of Metropolitan St. Louis, on Wednesday, November 8, 2017.

Bates Group is pleased to announce that Geoff Winkler, CFE, Bates Group’s Director of Fraud and Forensic Investigations, will be speaking this Tuesday on personal liability for compliance professionals at the Association of Certified Fraud Examiners' (ACFE) 28th Annual Global Fraud Conference in Nashville, TN, June 18th-23rd. ACFE’s annual conference is attended by over 3000 professionals across multiple industries.  Mr. Winkler will be presenting session 10H on Tuesday afternoon, 3:35 - 4:50 p.m. Please also visit Bates Group in the exhibitor hall at booth #202.

Bates Group is pleased to announce that Timothy Durno, a 30-year financial leader veteran based in Martin County, Florida, has joined Bates as a consultant and expert, and will be making opening remarks this Wednesday, April 12th, at the Palm Beach County Bar Association’s CLE program entitled “The Changing Landscape of Securities Regulation, Arbitration and Litigation,” which Bates Group is proud to sponsor.

We are pleased to announce that Bates affiliate expert Paul Carroll will be a featured speaker at the New York State Bar Association’s 2017 Securities Arbitration and Mediation Conference on Thursday, April 6 in New York City.

We are pleased to announce that Bates Group affiliate expert Alison Jimenez will be a panelist on the ACAMS International AML & Financial Crimes Conference panel, “The Algorithm is Your Friend: Creating and Using Them to Strengthen AML” in Hollywood, FL., April 3-5, 2017. Ms. Jimenez will be joined at the conference by Geoff Winkler, Bates Group's Director of Fraud & Forensic Investigations.

We are pleased to announce that Bates Group Expert Professor Ronald Filler will be the Moderator of the ABA Section on International Law's Spring 2017 Program, “Financial Crisis Reform or a Financial Crisis Missed Opportunity?” in Washington, D.C., April 25-28, 2017.

Bates Expert Miriam Lefkowitz will be a featured speaker at the New York Country Lawyers’ Association’s CLE on “Ethical, Legal and Regulatory Considerations When Practicing Before the SEC and CFTC" on February 15, 2017, 9am to noon. Sponsored by NYCLA’s Securities and Exchange Committee and Futures and Derivatives Committee

Photos from the SIFMA/Bates Group Leaders and Experts Forum in New York City : “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.”