News - Events

8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact

Bates News, Events  |  08-05-20

8/13 CLE: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact

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

Detail
Upcoming CLE Webinar 7/30: Anti-Money Laundering and Fraud Risks In the Age of COVID-19

Events  |  07-21-20

Upcoming CLE Webinar 7/30: Anti-Money Laundering and Fraud Risks In the Age of COVID-19

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.

Detail
Virtual Event: NSCP 2020 Midwest Regulatory Interchange

Events  |  07-15-20

Virtual Event: NSCP 2020 Midwest Regulatory Interchange

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).

Detail
Compliance Roundtable 7/15: Assessing, Fine-Tuning and Improving Your Business Continuity Plan

Events  |  07-13-20

Compliance Roundtable 7/15: Assessing, Fine-Tuning and Improving Your Business Continuity Plan

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.

Detail
CLE Webinar: Reg BI for Litigators - The New Game Changer

Events  |  06-10-20

CLE Webinar: Reg BI for Litigators - The New Game Changer

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.

Detail
CLE Webinar: Employment Claims and Potential Economic Damages – What to Expect in the “New Normal”

Events  |  05-29-20

CLE Webinar: Employment Claims and Potential Economic Damages – What to Expect in the “New Normal”

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.

Detail
CLE Webinar: Senior and Vulnerable Investor Protection and Potential Claims in the COVID-19 World

Events  |  05-08-20

CLE Webinar: Senior and Vulnerable Investor Protection and Potential Claims in the COVID-19 World

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

Detail
Webinar: Preserving and Growing your IBD/RIA Business in the Time of COVID-19

Events  |  05-08-20

Webinar: Preserving and Growing your IBD/RIA Business in the Time of COVID-19

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

Detail
This Week at Bates: Countdown to Form CRS for IAs Webinar

Events, Compliance and Regulatory Alerts  |  04-28-20

This Week at Bates: Countdown to Form CRS for IAs Webinar

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.

Detail
Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6

Events  |  02-27-20

Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6

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.

Detail

Page 1 of 4 pages.

Alert

Get Bates Group News and Alerts in your Inbox

Sign Up Now

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.

Contact Bates Group
Automat:ee