News & Events – Bates News

Bates Group is proud to welcome new Managing Director Rhonda Davis and Cobia Compliance to our AML and Compliance practices.

Bates welcomes Mary Simonson as a new Managing Director of Bates Compliance. A seasoned compliance professional with more than 30 years of experience, she brings a substantial background in compliance, supervision, and risk management leadership roles.

Bates Compliance Managing Director Linda Shirkey is quoted in a June 15, 2021 article on ThinkAdvisor, "Excited About SEC's New Ad Rule? Not So Fast." She is also quoted in a Risk.net article on family office regulation in light of the Archegos collapse.

On May 21, 2021,  New York Law School announced the launch of the Ronald H. Filler Institute for Financial Services Law. Named in honor of distinguished Professor Emeritus and Bates affiliate expert Ronald H. Filler, the Institute will provide cutting-edge educational programming, CLE panels, and speaker forums for students and practitioners that respond to emerging challenges in securities, derivatives, banking, and insurance laws and regulations.

Bates Compliance Managing Director Hank Sanchez sat down recently with the Florida Securities Dealers Association for a Member Spotlight interview.

Bates CEO Jennifer Stout and Expert Linda Houston will be speaking at the upcoming Fifth Annual Southeastern Women in Financial Services (SWIFS) Spring Symposium on May 4, 2021. Bates is also a sponsor of the 2021 Spirits of Pace event on May 6, benefitting the Pace Center for Girls, Hillsborough, FL.

Bates Group welcomes our new experts and consultants (Pictured from L):

• Ana Suárez - Chief Compliance Officer, BD and IA Compliance, AML and Risk, Policy & Procedures, Regulatory Filings
• Lorraine Lee - Former Regulator, Statutory Disqualification, FINRA Eligibility Proceedings
• Tany Durkee Urbach - Former State Securities Commissioner, Ponzi Scheme, Securities Fraud, IA and BD Regulatory Compliance

We’re launching our inaugural Bates AML & Financial Crimes: In Brief publication to bring to AML leaders important AML and Financial Crimes news and updates, including spotlights on our AML and Financial Crimes staff and experts, upcoming programs you can attend, and thought leadership resources to support your professional success.

We are honoring women globally, committing to forge a more inclusive world, and celebrating our Bates Group colleagues, clients, and friends this 2021 International Women's Day.

UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director and panelist Linda Shirkey.

Bates Group and Innova Learning, Inc. today announced a joint effort to provide advanced training programs, subject matter expertise, and consulting services to financial services industry companies and the legal counsel who serve them.

Bates Group is proud to welcome our newest experts and consultants (clockwise from top L):

• Andrew Auslander, CFA, FRM - Financial Risk Management, Bonds, Corporate Lending
• David F. MacNair - AML, Fraud Prevention, FINRA Arbitrator
• Annemarie McAvoy - Financial Crime Compliance, AML and Terrorist Financing, Internal Investigations
• Samuel Turvey - Compliance, Regulatory Response, Arbitration

Bates Group CEO Jennifer Stout is featured by Southeastern Women in Financial Services (SWIFS) in their December 2020 Member Spotlight.

A recent article from WealthManagement.com highlights comments made at the Bates Compliance-SIFMA webinar on virtual branch office visits, held October 5, 2020. This webinar is available for on-demand viewing from SIFMA.and features Bates Compliance Director Jill Ehret.

On Monday, October 5, 2020, nearly 700 Compliance, Supervision, Risk, Legal and Regulatory experts and professionals tuned in to a panel discussion covering virtual branch office inspections and the challenges facing regulators and industry supervision and compliance teams. The webinar, jointly organized by Bates Compliance and SIFMA, reviewed the current requirements and status of branch office inspections, recent regulatory relief, and compliance expectations for on-site inspection requirements going forward. Here are some important takeaways from this discussion.

Bates Group is proud to welcome our newest experts and consultants: 

• Gary Ferrari - AML, Financial Crimes, Global Compliance Risk Management
• Barbara A. Halper, JD, MBA - BD-IA Compliance, Seniors and Vulnerable Investors, Compliance Testimony
• Timothy McClendon, CIC, CWCA - Insurance, Workers’ Compensation, Risk Management
• Edward Truax - Insurance and Annuities, 401K/Pension/Retirement, Elder Issues