News - Bates News

Bates Group Partners with Linda Tuck Chapman and Ontala for Third Party Risk Management Services

Bates News  |  06-03-20

Bates Group Partners with Linda Tuck Chapman and Ontala for Third Party Risk Management Services

Bates Group is proud to announce our partnership with Ontala Performance Solutions, led by internationally acclaimed expert Linda Tuck Chapman, to expand Bates’ risk services to include the critical area of third-party risk management.

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Introducing Bates Group’s Business Interruption Litigation Support

Bates News  |  06-02-20

Introducing Bates Group’s Business Interruption Litigation Support

Bates Group’s industry-leading insurance, forensic accounting and economic damages experts stand ready to assist Insurers and agents in the many challenges they face as result of pandemic-related business interruptions, including pre-litigation claims reviews and multi-faceted support should a matter proceed to litigation.

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Bates Practice Insights: What Compliance Officers are Thinking About Now

Bates News, Bates Research, Compliance and Regulatory Alerts  |  05-20-20

Bates Practice Insights: What Compliance Officers are Thinking About Now

In this first of a series of conversations with Bates Group practice leaders, we caught up with Robert Lavigne, Managing Director and Bates Compliance Practice Leader, and Hank Sanchez, Esq., Bates Compliance Managing Director and former SEC and FINRA regulator, to get an understanding of what they are hearing from compliance officers right now, as well as advice for compliance teams in the "new normal."

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Welcome Our New Bates Experts

Bates News  |  05-11-20

Welcome Our New Bates Experts

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

Kathy D. Ireland – ERISA, Investment Advisers Act, Codes of Ethics

Philip Lieberman, CPCO, CLU – Property and Casualty Insurance

Jennifer Luce – Accounting, Media, Publishing

Mike Steinmetz – Cybersecurity

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Bates Group Welcomes New Managing Director Steven Engel

Bates News  |  05-07-20

Bates Group Welcomes New Managing Director Steven Engel

Bates is proud to welcome Steven Engel as a new Managing Director on the Bates Compliance team. At Bates, Steven will be working directly with clients to support their risk and compliance activities and solutions.

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What We Have Learned From Previous Market Downturns and Corrections

Bates News  |  03-18-20

What We Have Learned From Previous Market Downturns and Corrections

Over the course of the last 40 years we’ve seen plenty of ups and downs in the markets. Along the way, Bates Group has helped our clients sort through the complexities and fallout by providing clear and accurate analyses, reporting, and expertise.

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FINRA Postponement of In-Person Arbitration & Mediation Hearings

Bates News, Compliance and Regulatory Alerts  |  03-17-20

FINRA Postponement of In-Person Arbitration & Mediation Hearings

FINRA has announced that, in response to the evolving coronavirus disease 2019 (COVID-19), it “has decided to administratively postpone all in-person arbitration and mediation proceedings scheduled through May 1, 2020. “

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Bates Group Response to COVID-19

Bates News  |  03-13-20

Bates Group Response to COVID-19

Bates Group is taking steps to promote the health and safety of our employees, consultants, and clients, as well as to ensure uninterrupted operations during this crisis. Read the letter from Bates CEO Jennifer Stout.

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Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article

Bates News, Compliance and Regulatory Alerts  |  03-09-20

Bates Compliance Practice Leader Robert Lavigne Discusses Reg BI in ThinkAdvisor Article

Bates Compliance Practice Leader Robert “Bob” Lavigne is quoted in a new article entitled “Reg BI Compliance Race is On,” published by ThinkAdvisor.

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Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies

Bates News, Bates Research, Compliance and Regulatory Alerts  |  03-05-20

Facing the Coronavirus: Financial Industry Preparations, Reassurances and Contingencies

If you’ve been in meetings about investor communications, business travel, or other contingency planning over the past few days and weeks, you are not alone. Since the outbreak of the coronavirus (also referred to as COVID-19) and more recently, the precipitous volatility of the financial markets, financial firms have been deluged with questions from just about every stakeholder group about how to respond. Regulators are weighing in as well. Bates looks at some of the efforts to prepare and reassure everyone out there.

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