10-21-20

Upcoming Webinar: REG BI - 120 Days On

Upcoming Webinar: REG BI - 120 Days On

In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the best interest of their clients first.

Reg BI's implementation occurred on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts will assess the impact on the industry thus far.

Join our webinar to hear expert opinions from our panel of regulatory specialists:

  • Donald McElligott, VP Compliance, Global Relay
  • Hank Sanchez, Managing Director, Bates Compliance
  • Robert Lavigne, Managing Director, Bates Compliance

Date: Wednesday, October 28, 2020

Time: 11:00 AM Pacific / 2:00 PM Eastern

Duration: 45 Minutes

You will learn:

  • What has happened since REG BI came into effect
  • How it has impacted the technology side of business
  • Common concerns raised by the SEC

Register for this Webinar

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10-14-20

Bates is a Proud Gold Sponsor of the 2020 NSCP National Conference

Bates is a Proud Gold Sponsor of the 2020 NSCP National Conference

Join Bates Compliance at the 2020 NSCP National Conference, October 19-21, 2020. Bates is a proud Gold sponsor of this online event, which will feature regulatory sessions and 68 educational breakout sessions.

Visit Bates' Virtual Sponsor Booth in the Exhibition Hall, where attendees can chat with Bates staff, schedule 1-on-1 video meetings, view service offerings and download materials. Our online booth schedule is now open – book an appointment with us today!

Bates is a Proud Gold Sponsor of the 2020 NSCP National Conference
Linda Shirkey

Bates Compliance Manging Director and NSCP Board member Linda Shirkey will be speaking on Day 1 of the conference on the panel of Session 3b: Understanding the SEC’s Proposed Advertising Rules. (2:00-3:15 p.m.) The panel will discuss the proposed principles-based approach to overhauling the current rules.

Click Here for More Information and to Register

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10-14-20

CxO Friday Insurance Industry Roundtable - Webcast with Sheila Murphy October 16, 2020

Bates Group expert and consultant Sheila Murphy will be appearing Friday, October 16, 2020 on the Insurance Industry CxO Roundtable webcast. Ms. Murphy will be leading the panel to discuss business and market trends in the field, explore their impact on CxOs, in-house and outside counsel, and share tactical steps to effectively support stakeholders in light of these developments. Sponsored by In The House, a private network for General Counsel and other in-house attorneys.

RSVP today to secure your spot

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09-18-20

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits during our webinar. 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.

Join us to learn more about:

  • the status of virtual branch office inspection programs;
  • rulemaking updates and FINRA Rule 3110 requirements for branch inspection programs;
  • current remote branch office inspection challenges;
  • and best practices when implementing a remote branch inspection program.

1.5 CLE credits available

More Info and to Register

Featured Speakers:

Sponsored by:

SIFMA Webinar Series - Monday, October 5, 2020 - Virtual Branch Office Compliance Visits
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09-16-20

Visit Bates Group’s Interactive Booth at the SIFMA C&L Virtual Forum - September 23-24, 2020

Visit Bates Group’s Interactive Booth at the SIFMA C&L Virtual Forum - September 23-24, 2020

Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Hosted by the SIFMA C&L Society, hear industry leaders’ perspectives on the current regulatory and enforcement environments, lessons learned thus far, and much more.

Stop by our virtual exhibit booth to reconnect with Bates colleagues. Speak with our representatives to find out what they are seeing and hearing and how our team of experts can help you with your virtual hearings, regulatory investigations, and compliance matters.

You will also be able to link to helpful materials (including downloadable white papers), enter our annual raffle for a bottle of world-class wine from the Pacific Northwest, and receive some giveaways.

We look forward to connecting with you at the show!

Click here for More Info and to Register
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09-14-20

CLE Webcast - PLI Pocket MBA for Lawyers and Other Finance Professionals

CLE Webcast - PLI Pocket MBA for Lawyers and Other Finance Professionals

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. Pocket MBA is a hallmark program for attorneys whose careers have brought them into representing clients in the financial industry, but their background training lacked accounting principles and financial concepts. This 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.

Ms. Davis (above L) will be giving opening remarks and appearing on the panels "Accounting Fundamentals," "Financial Statements in Practice: A Case Study" and “Economic Concepts in a Litigation Context.” Mr. Longridge (above R) will be speaking on the panel "Regulatory and Legal Compliance in International Business & Trade."

Click Here for More Info and to Register
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09-03-20

Bates Group Summer Roundup – Catch Up on What You’ve Missed and What’s Coming Up This Fall

Bates Group Summer Roundup – Catch Up on What You’ve Missed and What’s Coming Up This Fall
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. 
 

NEWS

New FinCen Guidance on the CDD Rule, Cyber Fraud and Virtual Currency Scams Exploiting Twitter - 8/20/20

FINRA Roundup: Guidance on Private Placements, Digital Assets, Virtual Hearings, and Proposals - 8/6/20

Bates Group, Complidata Bring Expertise and A.I. Technology Together to Optimize AML and Compliance - 8/5/20

DOL Proposes New Class Exemption for Investment Advisers - 7/30/20

Welcome to Our New Bates Experts - 7/24/20

Bates Practice Leadership Insights: Julie Johnstone on the Changing Litigation Landscape - 7/22/20

New OCIE, FinCEN Alerts Emphasize Vigilance Against Ransomware, Imposter Scams, Money Mule Schemes - 7/16/20

 

COMPLIANCE AND REGULATORY ALERTS

SEC Issues COVID-19 Compliance Observations and Recommendations for BDs and IAs - 8/17/20

SEC Issues “Private Funds Adviser” Compliance Risk Alert - 7/2/20

 

WEBINARS AND CLE

Webinar: Covid-19 Leads to Novel Compliance Concerns - 8/20/20

CLE Webinar: Capital Market Uncertainty in the Time of COVID-19 and Potential Legal & Regulatory Impact - 8/13/20

CLE Webinar: Anti-Money Laundering and Fraud Risks In the Age of COVID-19 - 7/30/20

Bates Compliance Roundtable: Assessing, Fine-Tuning and Improving Your Business Continuity Plan - 7/15/20

CLE Webinar: Regulatory Exams and Investigations in the Age of COVID-19 - 7/9/20

View all of our On-Demand webinars and CLEs on our Recorded Programs page.

 

COMING UP

September 21-22 - Join 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.

September 23-24 - Visit Bates Group's Interactive Virtual Booth at the SIFMA C&L Virtual Forum. Bates is a proud Silver sponsor of this online event. (And yes, we’ll be giving away wine and goodies!)

October 5 - Join SIFMA and Bates Group for our “Virtual Branch Office Compliance Visits" CLE Webinar. (Registration coming soon!)

October 8 - Join us at the annual FSDA Industry Outreach Program. Bates is a proud Platinum sponsor of this online event.

October 13-15 - Join us at the IBDC-RIAC Annual Risk Management Conference. Bates is proud to sponsor and speak at this online event.

October 19-21 - Register now for the 2020 NSCP National ConferenceBates Compliance Manging Director and NSCP Board member Linda Shirkey will be speaking on Day 1 of the conference (Session 3b. IA/PF – Understanding the SEC’s Proposed Advertising Rules). Bates is a proud Gold sponsor of this online event.

 

NEED ASSISTANCE?

For additional information and practice support, please Contact Us today, and follow the links below to Bates Group’s Practice Area pages:
 

Consulting and Expert Testimony

Retail Litigation and Consulting

Institutional and Complex Litigation

Bates Compliance

Regulatory and Internal Investigations

Bates AML and Financial Crimes

Forensic Accounting and Economic Damages

Insurance and Actuarial Services

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08-26-20

Canadian Institute of Actuaries Workshop: Filing a Business Interruption Claim

Canadian Institute of Actuaries Workshop: Filing a Business Interruption Claim

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. Joining Chris on the panel will be Bates Affiliate Expert Mark Filler and Securities Litigation Director and Expert Andrew Daniel. Presented by the Canadian Institute of Actuaries.

For more information about Bates Group’s Forensic Accounting and Economic Damages services, please visit our Practice Page.

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08-20-20

Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

Topic - Covid-19 Leads to Novel Compliance Concerns: Branch Audits, Selling Away and Much More

Date/Time - Aug 20, 2020, 2:00 p.m. Eastern / 11:00 a.m. Pacific

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(L-R) Lilian Morvay, Jill Ehret, Paul Horn

 

Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) will be presenting a complimentary webinar titled "Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away" Thursday, August 20, 2020 at 2 p.m. Eastern.

She will be joined on the panel by Bates Compliance Director Jill Ehret, Bates Cybersecurity Expert Paul Horn (Founder/CEO, H2Cyber), moderator Dan Newman, Esq. (Partner, Nelson Mullins), Scott Sherman, Esq. (Partner, Nelson Mullins), and Melissa Tarentino (Vice President of Legal Affairs, Ladenburg Thalmann Financial Services).

Our panel of experts will explore:

  • Performing FINRA Mandated Branch Supervision and Audit Responsibilities in a Virtual World;
  • Tips & Best Practices for Reviewing OBAs and Identifying Potential Selling Away Issues in the Midst of a Pandemic;
  • Legal: Recent Actions Involving Branch Audits, Supervision and Selling Away;
  • Incorporating Virtual Supervision Into Your Newly Established Reg BI Procedures;
  • Maintaining Cyber Vigilance in the World of Virtual Supervision and Audits.

Presented by IBDC

REGISTER HERE

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08-05-20

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

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

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The first half of 2020 has been a very challenging time for the capital markets. With a global pandemic arising – the likes of which have not been seen in more than 100 years – U.S. economic activity has largely collapsed, and unemployment has risen to levels not seen since the Great Depression. Join Bates Group’s next CLE Webinar on Thursday, August 13th as we look at 2020 in the context of past bear markets, whether a comparison to the 1918 influenza pandemic is relevant to today, and which sectors and industries have been hardest hit by the economic disruption. The webinar will also explore the impact of COVID-19 on potential capital market-related litigation and regulatory and enforcement areas to keep an eye on. Featuring (L-R above)  co-moderators Jack McGuire of Oppenheimer & Co. and Esther Cho of Keesal, Young & Logan, along with Greg Kyle, Bates Group Director and Expert.

Registration is required to attend this Zoom webinar.

CLE credit approved in MO and CA, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule. 

Date: Thursday, July 30, 2020

Time: 12:30 p.m. Eastern / 9:30 a.m. Pacific

Program Length: 1 hour

Register Here


Program Speakers:

Jack McGuire, Managing Director/Deputy General Counsel, Director Of Litigation, Oppenheimer & Co (Co-moderator)

Esther Cho, Shareholder and Chair of Executive Committee, Keesal, Young & Logan (Co-moderator)

Greg Kyle, Director and Expert, Bates Group

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07-21-20

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

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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 Edward Longridge (Managing Director, Bates AML and Financial Crimes), Daniel Nathan, Jeanine McGuinness and Matthew Moses (Partners, Orrick Herrington & Sutcliffe LLP), and Bates AML Compliance Expert Gary Ferrari, for this CLE webinar which will examine how financial institutions can adapt their AML programs to the new financial environment and regulatory expectations.

Among other things, we will discuss:

  • Money laundering risks created by the current business environment
  • Regulatory pronouncements and expectations related to the pandemic
  • How financial institutions should assess the adequacy of their AML programs to operate effectively in this environment
  • How financial institutions should modify programs in light of the assessment

Registration is required to attend this Zoom webinar.

Date: Thursday, July 30, 2020

Time: 12:00 p.m. Eastern / 9:00 a.m. Pacific

Program Length: 1 hour

Register Here

 

Orrick, Herrington & Sutcliffe LLP is an accredited MCLE provider in the State of New York. This non-transitional continuing legal education course has been approved in accordance with the requirements of the Continuing Legal Education Board for a maximum of 1.0 credit hours, of which 1.0 credit hours can be applied toward the areas of professional practice requirement.


Program Speakers:

Edward Longridge - Managing Director, Bates AML and Financial Crimes

Daniel Nathan - Partner, Orrick Herrington & Sutcliffe LLP

Jeanine McGuinness - Partner, Orrick Herrington & Sutcliffe LLP

Matthew Moses - Partner, Orrick Herrington & Sutcliffe LLP

Gary Ferrari - Bates AML Compliance Expert

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07-15-20

Virtual Event: NSCP 2020 Midwest Regulatory Interchange

Virtual Event: NSCP 2020 Midwest Regulatory Interchange
Linda Shirkey

The NSCP 2020 Midwest Regulatory Interchange with the SEC, DOL and FINRA is taking place on July 24, 2020. This event will provide an informal virtual setting for Investment Adviser, Private Fund and Broker-Dealer industry professionals to hear from the regulators and ask questions. Bates Compliance Managing Director Linda Shirkey (pictured) will be speaking on the SEC Discussions panel at 9 a.m. Mountain Time, 11 a.m. Eastern.

For more information and to register, please visit the NSCP event page.
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07-13-20

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

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Join Bates Compliance's roundtable discussion, featuring Rob Guldner (RIA CCO, Advisor Group) and Sandra Grannum, (Partner, Faegre Drinker Biddle & Reath, LLP), along with Bates Compliance Managing Directors Hank Sanchez and Linda Shirkey, and Director Rory O'Connor.

Our industry experts will address Business Continuity Plan (BCP) design and implementation, including:

  • Unanticipated issues, gaps, and shortcomings that companies may have endured as a result of the COVID-19 pandemic
  • Precautionary measures that companies can consider to improve their current BCP plans and help ensure the safety and health of their employees returning to in-office jobs
  • How best to prepare for significant future business disruptions and a COVID resurgence

Registration is required to attend this Zoom webinar.

Date: Wednesday, July 15, 2020

Time: 12:00 p.m. Eastern / 9:00 a.m. Pacific

Program Length: 1 hour

Click Here For More Information and To Register

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06-10-20

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

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

Starting on June 30, 2020, recommendations of securities to retail customers will be governed by SEC Regulation Best Interest (“Reg BI”). The new rule “enhances firms’ standard of conduct beyond existing suitability obligations by, among other things, requiring firms to act in the retail customer’s best interest at the time the recommendation is made, without placing the financial or other interests of the firm ahead of the interests of the retail customer."

In this webinar, 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.

Register Now for this Complimentary Webinar

 

When: Thursday, June 18, 2020 – 12:30 p.m. Eastern/ 9:30 a.m. Pacific

Program Length: 1 hour

CLE Credit pending in CA, MO. Reciprocal credit eligible in NY, NJ, FL.

 

Registration is required to attend this Zoom webinar.

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05-29-20

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

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Join moderator Sheila Murphy (Consultant, Bates Group) and A. Christine Davis (Managing Director of Forensic Accounting and damages expert, Bates Group) along with three accomplished employment lawyers, Maureen Bogue (Founder, Pacific Employment Law), Jeanine Conley Daves (Shareholder, Littler Mendelson P.C.), and Elizabeth Thompson (Counsel, Kilpatrick Townsend & Stockton LLP), as they explore and address employment-related litigation issues, including wage and hour and potential economic damages claims, stemming from COVID-19.

CLE Credit pending in CA, MO. Reciprocal credit eligible in NY, NJ, FL.

Registration is required to attend this Zoom Webinar.

Click Here to Register Now!

 
Program Faculty:

Sheila Murphy, Esq. (Moderator), Consultant, Bates Group

Sheila Murphy is a Bates Group expert and consultant with over 30 years of legal, insurance, regulatory and retail litigation experience. Prior to joining Bates, Ms. Murphy served MetLife in various legal roles. Most recently, as Senior Vice President and Associate General Counsel, Ms. Murphy led the Regulatory and Retail Litigation Unit, which provided strategic advice on litigation and regulatory matters for MetLife's U.S. insurance and financial products businesses. Her team counseled on broker-dealer, compliance and public policy issues as well as advised on litigation and regulatory matters. Ms. Murphy has received numerous industry awards throughout her career and has been a speaker and panelist for various continuing education and industry-related symposia.

A. Christine Davis, Managing Director, Forensic Accounting and Economic Damages, Bates Group

A. Christine Davis is Managing Director of Forensic Accounting and Financial Crimes, based in Bates Group’s San Francisco office. Christine has over twenty-six years of forensic accounting, audit, tax and dispute consulting experience. In addition to being a CPA in California and New York, she is a Certified Valuation Analyst and holds the Certified in Financial Forensics credential issued by the American Institute of Certified Public Accountants. She also holds an arbitrator certificate. Christine is frequently retained as a consulting and testifying expert for complex commercial litigation and regulatory matters and as a forensic accountant for fraud or accounting investigations. As a financial, accounting or damages expert, she assists in all phases of litigation by providing calculations, analytical insight, discovery assistance, and expert testimony by deposition, in arbitrations and at trial in federal and state courts.

Maureen Bogue, Founder, Pacific Employment Law

Maureen Bogue has 25 years of experience as an employment litigator and counselor, and has represented employers of all sizes in state and federal courts and in arbitration.  She has significant experience defending employers in wage and hour claims (including class actions), as well as claims for discrimination, harassment, failure to accommodate and related employment claims.  She also represents employers in EEOC and EDD audits. Ms. Bogue has been conducting workplace investigations for 20 years and is often retained to investigate claims of harassment, discrimination or retaliation asserted against senior members of management.

Jeanine Conley Daves, Shareholder, Littler Mendelson P.C.

Jeanine Conley Daves has represented many of the nation’s leading companies in employment-related disputes and workplace investigations. She has successfully tried cases in both state and federal court and has significant experience litigating race, age, gender, religion and disability discrimination lawsuits, wage and hour class and collective actions and whistleblower and retaliation claims. Jeanine advises and counsels clients in all industries, particularly the manufacturing, retail, financial services and media and entertainment industries and has represented clients before numerous government agencies. She navigates clients through all areas of employment law, from hiring to termination.

Elizabeth Thompson, Counsel, Kilpatrick Townsend & Stockton LLP

Elizabeth Thompson has a multi-faceted practice focusing on employment and complex commercial litigation, trade secret protection, and employment advice and counseling. She has broad experience representing employers in overtime class actions, wrongful termination, and discrimination cases. Elizabeth counsels clients in all aspects of the employment relationship including wage and hour law, reductions in force, high-risk terminations, disability accommodations, sexual harassment complaints, and compliance with the overlapping requirements of the many federal, state, and local employee leave and wage replacement laws. She regularly advises executives with private and publicly traded companies in the negotiation of employment agreements and severance agreements.

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05-08-20

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

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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.

Faculty:

Joseph “Joe” Thomas, co-host, nationally recognized expert witness and Bates Group director

Amy Bard, Esq., co-host, Senior Issues Expert, Bates Group

Melissa Acayan, Esq., Director, Senior Compliance Counsel, Raymond James

Marin Gibson, Managing Director and Associate General Counsel, SIFMA

Ronald Long, Head of Aging Client Services, Wells Fargo

 

CLE credit pending approval.

 

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

Program Length: 1 hour

 

Registration is required to attend this Zoom webinar.

Click Here to Register

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05-08-20

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

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Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists David Baugh, Partner - Kaufman Dolowich & Voluck; Brian Nally, Partner - Reminger; Brian Cavanaugh, Director Corporate Risk & Brokering Financial Institutions - Willis, Towers Watson, Robert “Bob” Reidy, Alternative Products Testifying Expert - Bates Group; and Judith Knudsen, VP and Deputy General Counsel - Avantax Wealth Management; 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.

  • Creating an effective Communication Plan
  • What IBDs/RIAs Can Do To Mitigate Risk
  • Potential Effects on Financial Services Claims
  • Professional Liability and Cybersecurity Insurance Considerations

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

Registration is required to view this Zoom webinar.

Click Here to Register

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04-28-20

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

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The countdown is on! By June 30, 2020, all SEC-registered IA firms must file their Client Relationship Summary (“Form CRS”) with the SEC and post on their website, then provide the Form CRS to all prospects and retail clients. Attend this complimentary webinar, specifically designed for SEC-registered IA firms, so you can tackle Form CRS with confidence. Our regulatory compliance team will guide you through the process and the following topics:

  • Tips for writing the CRS
  • Policies and Procedures, including what you need to be thinking about and what do you need to put in place
  • Getting your team ready: training, delivery, and record keeping
  • New SEC FAQs and Form CRS Alert
  • Your Questions and Answers


When: Thursday, April 30, 2020 - 12:00 PM EST/9:00 AM PST

Program Length: 1 hour

Bates Program Faculty (pictured above):

Linda A. Shirkey, Managing Director

Rory O'Connor, Director

Jennifer Sullivan, Consultant

 

Registration is required to view this Zoom webinar.

Learn More and Register Now

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02-27-20

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

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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. Hear Bates Compliance Managing Director Robert Lavigne on the panel “Vendor Due Diligence: One Approach Does Not Fit All.”  Learn about different strategies for conducting due diligence, who is typically involved in the process, identifying vendor risks, differences in initial and ongoing processes, important contract provisions, supervision considerations when outsourcing, and SEC guidance on how an adviser should assess third-party service providers. The 2020 IAA Compliance conference will cover a wide range of topics, including preparing for new Form CRS; strategies for managing an SEC exam; data privacy; cybersecurity; technology; trading and best execution; ethics; and much more. Continuing Education Credit will be available.

Full Conference Agenda and Registration Details

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02-26-20

Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize

Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize

Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure Compliance,” Wednesday, March 4, 2020 at 11:00 AM EST. The panel of regulatory compliance and technology experts will discuss new tools, technology, and process changes to help your firm comply with SEC Regulation Best Interest. 1 Hour

Now Available on Demand

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02-06-20

Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020

Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville Tennesee. The roundtable will cover the following topics: Reg BI, Form CRS, SEC and FINRA 2020 exam priorities, Cyber, Seniors, and the SECURE Act. Sponsored by TrustCore.

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02-05-20

Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX

Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX
Linda Shirkey

Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered broker-dealers, SEC-registered investment advisers, and dual registrants on Tuesday, February 11, 2020, from 2:30 – 5 p.m. at the UT McCombs School of Business’ Center for Enterprise and Policy Analytics in Austin, Texas. The workshop will open with an overview of Form CRS content and distribution requirements, followed by small-group working sessions to help each attendee draft their own Form CRS. The workshop will be interactive, drawing on insights and best practices shared by the facilitators and by attendees, with the facilitators also hosting conversations about the identification, mitigation and disclosure of conflicts of interest within the framework of Regulation BI.

This two-day conference brings together current and former government officials, industry experts, and academic researchers to engage in a series of dialogues on how Reg BI will impact securities brokers and registered investment advisors.

Click Here for Conference Details and to Register

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01-29-20

Meet and Hear from Bates AML Leaders at the 2020 SIFMA AML and Financial Crimes Conference

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Bates AML and Financial Crimes Managing Director Edward Longridge (pictured, top left),will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020 in New York City. Mr. Longridge will be speaking on the panel "Wherever You Go, There You Are: Money Laundering in an International Context," 12:55 - 1:55 p.m. Thursday, February 6th, alongside panelists Sterling Daines, Managing Director - Credit Suisse, Alan Ketley, Managing Director - MUFG Securities America Inc., and Betty Santangelo, Of Counsel - Schulte, Roth & Zabel LLP. The panel will be moderated by Alan Williamson, Director of Financial Crime Compliance - Barclays.

Bates Group is proud to be a returning sponsor and exhibitor at the 2020 AML and Financial Crimes Conference, which brings together leaders from the securities industry, regulatory agencies and law enforcement to discuss the latest developments and priorities in the AML and financial crime space. Throughout the two-day program, attendees will hear directly from the industry’s regulators and network with policymakers and peer compliance professionals.

Visit Bates at booth #8 to meet Mr. Longridge and fellow Bates Group leaders Dennis Greenberg, Susan Harper and David Birnbaum (pictured, clockwise from top right), and to learn more about Bates AML and Financial Crimes solutions.

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About Bates AML and Financial Crimes

Bates AML and Financial Crimes offers a valuable combination of industry and technical consulting expertise, providing the highest possible value to our clients in the areas of AML and financial crimes, fraud investigations, forensic accounting, data analysis and expert witness consulting. Our Financial Crimes team is led by recognized experts in AML, financial crimes, fraud and forensic accounting with extensive experience in the broker dealer, banks and investment adviser field. We provide tailored solutions and support that covers the following areas: AML/FC program redesign and implementation, AML/OFAC risk assessments, AML/FC program gap assessments and audits, KYC risk model design, AML systems tuning and optimization, AML systems integration, transaction monitoring look-back and ongoing investigations, fraud investigations, forensic accounting, AML/FC policies and procedures reviews, advisory services for AML/FC rule implementation, regulatory response support, and white collar crime testimony support.

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01-10-20

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

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Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020, at the SIFMA Conference Center in New York, NY. Bob will be speaking on the topic of “Documentation of Best Interest and Supervision.”

Bates Compliance, the compliance consulting division of Bates Group LLC, is a proud Gold Sponsor of the SIFMA Regulation Best Interest Vendor Forum. This half-day session will provide attendees an overview of the implementation considerations, and the opportunity to interact with Bates Compliance and other consultants who are developing the products, tools and services to help firms with implementing and complying with the SEC's Reg BI and Form CRS.

Bates Compliance consultants helps firms implement the SEC's Reg BI. We help you navigate disclosure obligations, duty of care obligations and conflicts of interest obligations. We also assist firms with:

  • Developing the new Reg BI Client Relationship Summary (“CRS”) for retail investors;
  • Impact and readiness assessments;
  • Conflicts of interest inventory;
  • Conflicts of interest assessment;
  • Product shelf reviews;
  • New product approval processes;
  • Drafting new policies and procedures;
  • Data capture and recordkeeping; and
  • Special IA and BD compliance considerations.

Visit the Bates booth to meet Bob and learn more about Reg BI solutions from Bates Compliance.

 

About Bates Compliance

The Bates Compliance team of experienced compliance professionals provides comprehensive compliance consulting services for BD and RIA clients on an as-needed or ongoing basis.  Bates assists with supervision, compliance, risk assessments, WSPs, annual compliance reviews, mock exams, regulatory remediation and internal audits. We review and test firms’ programs, policies and procedures, recommending changes based on regulatory requirements and leading practices designed to supplement and enhance compliance and supervisory systems.

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12-17-19

Bates Compliance at the FINRA 2019 Regulation Best Interest Conference

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Bates Compliance will be at FINRA’s Regulation Best Interest Conference, December 18, 2019 in Washington, D.C. This one-day event is designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI). Meet Bates Compliance Managing Director Bob Lavigne and Director Jill Ehret to learn more about Reg BI solutions from Bates Compliance.

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11-11-19

This Week at Bates

Bates Group Leaders and Experts will be appearing at several industry events around the country this week:

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November 12, 2019 – Meet Bates Group Director and Senior Investor Expert Joseph Thomas at the FINRA 2019 Senior Investor Protection Conference in Washington, D.C.

 

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November 13, 2019 – Bates is a proud Silver sponsor of the Sixth Annual "Keep Moving Forward with Legal Diversity" CLE program, hosted by Wells Fargo Advisors and the Bar Association of Metropolitan St. Louis (BAMSL). CLE and CPE credit available.

 

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November 14, 2019 – Bates Chief Legal & Administrative Officer Tony Ogden will appear on the Cybersecurity panel at Greensfelder's Annual Securities Industry Symposium in St. Louis, offered in conjunction with BAMSL.


Get the latest News, Alerts and Updates from Bates Group. Visit the Bates News page and sign up to receive industry news by practice area, articles and papers from Bates Research, and up-to-date compliance and regulatory alerts, delivered to your inbox!

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10-01-19

Hank Sanchez Speaking at SIFMA C&L New York Regional and 2019 NSCP National Conference

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Bates Managing Director and Expert Consultant Hank Sanchez, Esq. will be appearing on the morning general session panel “Hot Topics in Compliance” at the SIFMA C&L New York Regional Seminar, October 22, 2019, at the New York Marriott Marquis. Hank will be joined on the panel by Christina Dugger (J.P. Morgan Chase & Co.), Ben A. Indek (Morgan, Lewis & Bockius), Douglas Siegel (Oppenheimer), William St. Louis (FINRA), and moderator Tracy Calder (LPL Financial LLC).

SIFMA Seminar Details and Registration

 

Hank will also be a featured speaker at the 2019 NSCP National Conference, October 21-23 in Baltimore, MD. He will be speaking on the Wednesday morning Broker-Dealer panel "Advanced Considerations for Performing Due Diligence," alongside Kenneth Cherrier (Comerica). Stop by booth #33 to meet Bates Compliance leaders and to discuss compliance solutions for your firm.

NSCP Conference Details and Registration

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08-14-19

Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Jill Ehret to Speak on Reg BI Panel August 14, 2019 in Los Angeles

Bates Group’s Compliance Director Jill Ehret will be speaking at the 2nd Annual FI Summit on Wednesday, August 14th at the LA Galaxy Stadium. Bates is a proud co-sponsor of this year's event.

Along with her fellow panelists, Jill will be discussing the groundbreaking Regulation Best Interest Rule and its anticipated impact upon broker-dealers, registered representatives, registered investment advisers, and investment adviser representatives. CE and CLE credits will be available for the 3-panel program. A cocktail reception will immediately follow the summit.

Attendance is Free - Click Here to Register


About Bates

Bates Group brings tailored compliance consulting services and solutions to financial services clients on an as-needed or ongoing basis. We offer a suite of Reg BI services and powerful solutions to help your company navigate Reg BI implementation and achieve compliance.

Get the Bates Reg BI Fact Sheet

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07-23-19

A. Christine Davis to Speak at PLI’s Basics of Accounting for Lawyers 2019

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A. Christine Davis, Bates Group's Director of Forensic Accounting and Financial Crimes, is on the faculty of Practising Law Institute's CLE program "Basics of Accounting for Lawyers 2019," taking place July 23-24, 2019 in San Francisco. The two-day program reviews how some common accounting concepts may emerge in legal work, and what lawyers should consider when encountering them. Ms. Davis will be speaking on the "Accounting Fraud, Damages Calculation and Forensic Investigations" panel, providing insight from her professional experience on the following topics:

  • Financial Statements and other financial documentation in fraud and forensic investigations
  • Using financial statements and other financial documentation in calculating damages
  • Working with financial experts and factors to consider in financial expert selection
About A. Christine Davis

Based in Bates Group’s San Francisco office, Ms. Davis has over 27 years of combined forensic accounting, audit, tax, dispute consulting and litigation support experience. In addition to being a Certified Public Accountant in California, New York and Oregon, and she is a Certified Valuation Analyst and holds the AICPA’s Certified in Financial Forensics credential and Blockchain Fundamentals certificate. A published author and experienced public speaker, Ms. Davis is frequently retained as a consulting and testifying expert for complex commercial litigation and regulatory matters and as a forensic accountant for fraud or accounting investigations. In addition to her role as Director of Forensic Accounting and Financial Crimes, Ms. Davis supports the Securities Litigation practice as a financial, accounting or damages expert.

Attend live at PLI California in San Francisco or view the live webcast online. Attendees can earn one hour of Ethics CLE credit.

Click Here for more information and to register

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07-09-19

Join Bates Group at the SIFMA Regulation Best Interest Seminar

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Bates Group is a proud sponsor of the SIFMA Regulation Best Interest Seminar on Wednesday, July 10 in Washington, D.C. Speakers will address the final Reg BI rule, form CRS, and the broader regulatory landscape. Look for financial services industry leader and Bates Senior Compliance Consultant Jerry Baker (pictured above) at the seminar!


About Bates

Bates Group’s Compliance team of senior compliance staff and former regulators brings tailored consulting services and solutions to financial services clients on an as-needed or ongoing basis. Bates assists with Reg BI implementation, disclosures, conflicts of interest, supervision, risk assessments, WSPs, annual compliance reviews, mock exams, regulatory remediation, and internal audits. We review and test firms’ programs, policies and procedures, recommending changes based on regulatory requirements and best practices designed to supplement and enhance compliance and supervisory systems and remediate the results of regulatory and internal audit findings.

 

Learn more about Bates Group's Reg BI Services

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04-02-19

Bates Director Joe Thomas to Speak at SIFMA’s Senior Investor Protection Regional Workshop

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Bates Group Director Joseph “Joe” Thomas, Senior Investor Expert, will be speaking at the SIFMA Senior Investor Protection Workshop, April 3rd at Edward Jones in Tempe, AZ, on the panel “Protecting Your Senior Clients: Prevention, Identification and Action.” Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

Joe will be joined by Moderator, Kyle R. Innes, Assistant Vice President, State Government Relations and Assistant General Counsel, SIFMA and Panelists, Marcus N. Allen, AAMS, Regional Branch Supervisor, Vice President, Wealth Brokerage Services, Wells Fargo Advisors; Russell Bloemker, Associate General Counsel, Edward Jones; and  Brad Keely, Sr., Sr. Compliance Manager, Retail Investor Group, Vanguard.

About Joe Thomas: Mr. Thomas is a Bates Group Director based in St. Louis, and an expert on preventing, spotting and addressing situations of financial exploitation and cognitive decline. He has over thirty years of securities industry compliance, supervision, operations and administration experience, and he has provided quantitative and substantive witness testimony and opinions in over 90 retail securities litigation, arbitration, and court matters, many involving claims of elder abuse and fraud. Mr. Thomas also serves on the Public Policy Committee of the National Adult Protective Services Association (NAPSA). FULL BIO

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03-12-19

Bates News and Events This Week

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FSDA Member Spotlight on Jennifer Stout

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Bates CEO Jennifer Stout is the subject of the Florida Securities Dealers Association's (FSDA) March Member Spotlight. Jennifer discusses Bates Group's support of FSDA, our clients and community involvement.

Read the full interview at the FSDA website.

 

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InvestmentNews Interviews Alex Russell

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Alex Russell, Managing Director, Securities Litigation & Regulatory Enforcement, was interviewed by InvestmentNews in an article titled “529 Plan Costs: Advisers, Broker-Dealers Brace for FINRA Crackdown.” The article was published on March 11, 2019 in both the digital and print editions of InvestmentNews. In it, Alex discusses the challenges companies face if participating in the FINRA’s 529 Initiative. 

Read the full article in InvestmentNews.

 

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Susan Harper to Interview NY Attorney General Letitia James

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On March 13th, starting at 5:30 pm, Susan L. Harper, Bates Group’s Managing Director NY/NJ and Chair of the New York State Bar Association's Women in Law Section, will lead a fireside Q&A chat with New York Attorney General Letitia “Tish” James at the Section’s inaugural Trailblazers Series program “Lessons in Leadership.” Attorney General James is the 67th Attorney General for the State of New York. She is an experienced attorney and public servant with a long record of accomplishments, and she is the first woman of color to hold statewide office in New York and the first woman to be elected Attorney General of New York.

Prior to the interview, Attorney General James will be making remarks. An interactive Q&A session with attendees and networking reception will immediately follow.  New York State Bar President Michael Miller, New York Supreme Court Justice Tanya Kennedy, and Sandra Hauser, Partner, Dentons, will be making introductory remarks.

The event is taking place on Wednesday, March 13, 2019, at 5:30 pm at Dentons law firm, located at 1221 Avenue of the Americas (between 46th and 47th Streets) in New York City. 

Click Here for more information or to register.

 

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Bates Group at the 2109 IAA Compliance Conference

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Visit Bates Group at the 2019 Investment Advisor Compliance Conference, Booth #13, to discuss your compliance needs and solutions. March 14-15 in Washington, D.C. 

Conference Details

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01-14-19

Bates Group at the 2019 NYSBA Annual Meeting

Bates Group at the 2019 NYSBA Annual Meeting

Bates is proud to be a Bronze Sponsor of the New York State Bar Association’s Women in Law Section’s Fifteenth Annual Edith I. Spivack Symposium - Secure Your Seat at the Table: Becoming a Leader and an Indispensable Lawyer Who Champions Women,” taking place on January 15th, during the 2019 NYSBA Annual Meeting week, January 14-18, 2019 in New York City.

Join Susan Harper, Esq., Bates Group’s NY/NJ Managing Director and Women in Law Section Chair, at the Symposium when she moderates a panel of senior level attorneys and legislators discussing "Advancing Women's Equality Through Legislative and Policy Initiatives," which includes a discussion on developments on new employment law, investigations and current legislative state and federal ERA efforts.

On Wednesday, January 16th, Susan will also participate on the NYSBA Presidential Summit: "Listening to #MeToo: Why Laws to Prevent Sexual Harassment Have Been Ineffective, and What Attorneys Can Do About It," with panel chair Hon. Colleen McMahon, Chief Judge, U.S. District Court for the Southern District of New York. A reception will follow.

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09-24-18

Susan Harper to Speak at PLI’s 2018 Securities Arbitration Program on Use of Experts

Susan Harper to Speak at PLI’s 2018 Securities Arbitration Program on Use of Experts

Bates Group Managing Director NY/NJ Susan L. Harper will be speaking on the Practicing Law Institute’s Securities Arbitration 2018 panel, “A Practicum on the Use of Experts,” in New York City, September 26, 2018. The panel will cover the following topics: when to retain an Expert; when to have an Expert create a report or testify; and the do's and don’ts of cross-examining an Expert.

About Bates:

Bates Group has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a Best Securities Litigation Consulting Firm by readers of the New York Law Journal and a 2017 NYLJ Hall of Fame service provider, Bates Group provides end-to-end solutions throughout the lifecycle of your legal, regulatory, and compliance matters. With a roster of over 135 financial industry and regulatory experts, Bates offers services in litigation consultation and testimony, regulatory and internal investigations, AML solutions and staffing, compliance solutions, forensic accounting, fraud and financial crimes investigations, forensic accounting, damages and big data consulting.


Learn more about Bates Group’s Litigation Services, including expert witness search, damages analysis, and the new Arbitrator Evaluator™ selection tool.

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06-17-18

This Week: Bates Leaders and Experts to Speak at ACFE Global Fraud Conference

This Week: Bates Leaders and Experts to Speak at ACFE Global Fraud Conference

Connect with Bates Group at the 29th Annual ACFE Global Fraud Conference, June 17-22, 2018 at the Mandalay Bay Resort and Casino in Las Vegas, NV. The ACFE annual conference is attended by over 3,000 professionals across multiple industries. Bates Director Alex Russell, CFE, CFA, will be presenting the Data Analytics and Anti-Fraud panel “Errors, Biases and Algorithms: How to Interpret Automated Results,” while Financial Crimes Director Geoff WInkler, CFE, will moderate the Emerging Issues Panel "How to Detect and Prevent Fraud in Loyalty Programs." Fraud Expert Jacqueline Bloink, CFE, RHIA, will also be speaking on the Best Practices panel “Forensic Medical Coding and Billing for the CFE.”

Alex Russell, CFE, CFA

Alex Russell is Bates Group’s Director of Institutional and Complex Litigation. He is responsible for managing cases related to institutional disputes involving trust or banking entities; cases related to investment banking, sales and trading; and cases involving high net worth individuals. He also manages matters involving the assessment of economic damages. He provides quantitative witness testimony in the securities litigation practice area, and substantive testimony related to valuation practices and mathematical modeling in the field of finance. Mr. Russell is the co-leader of Bates Group’s Big Data practice and is an adjunct professor of finance at both Linfield College and in the Graduate School of Management at Willamette University.

Geoff Winkler, CFE

Geoff Winkler is Director of Bates Group's Financial Crimes practice, leading a team of legal and financial industry professionals who specialize in managing complex investigations, forensic accounting, fiduciary and insolvency services, and securities litigation support. Geoff has lectured extensively on the topics of fraud, anti-money laundering, business law, and business ethics and has published dozens of articles on topics ranging from elder care abuse to SEC reforms, and managing expert witnesses to analyzing new DOL rules. Before coming to Bates, Geoff was a business consultant and turnaround professional, and he is recognized as a Certified Fraud Examiner by ACFE. He earned his BA (Politics), MBA and JD from Willamette University in Oregon, and is an Adjunct Professor of business law, business ethics, and American government for Chemeketa College.

Jacqueline Nash Bloink, CFE, RHIA

Bates Expert and Consultant Jacqueline Nash Bloink has worked in the health care industry since the mid-1990s in such roles as practice administrator, coding manager, auditor, instructor/instructional designer and director of compliance. Her passion is health care compliance and fighting health care fraud. Ms. Bloink is a published author and national speaker on the topic of health care compliance and health care fraud. She is currently an adjunct Professor for the University of Arizona and a consultant who specializes in assisting businesses, organizations and legal teams with various projects that involve provider education, health care coding, compliance or fraud.

 

Geoff Winkler will also be available on site to answer your questions about Bates Group's Financial Crimes services, including:

  • Investigation Services and Support
  • White Collar Crime Consulting and Testifying Experts
  • Anti-Money Laundering Investigations
  • Forensic Accounting
  • Asset Tracing
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05-25-18

This Week at Bates

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Joseph Thomas, Bates Director and Elder Expert, to speak at SIFMA’s Investor Protection Workshop on May 31st in Minneapolis.

Bates Group Director and Elder Expert Joseph Thomas will be speaking on the panel “Protecting Your Senior Clients: Prevention, Identification and Action” at the SIFMA Investors Protection Workshop. The panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. SIFMA’s Workshop is designed to educate participants on the impact of cognitive decline; the anatomy of an investigation; recent legal and regulatory development; and promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. Plus, participants will tackle real-life scenarios from beginning to end in a small-group setting. The event will take place at Ameriprise in Minneapolis.

Click here for more information and to register.

 

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Susan L. Harper, Managing Director, and Michael Putetti, Consultant and Expert, at NYSBA’s “#MeToo: How to Navigate Sexual Harassment in the Workplace” program on May 31st in New York City.

Also on Thursday, May 31st is the NY State Bar Association’s event “#MeToo: How to Navigate Sexual Harassment in the Workplace.” The program will be moderated by Susan Harper, Bates Group Managing Director - NY/NJ and Chair, NYSBA Committee on Women in the Law, and the panel will feature Michael Putetti, Bates Group Labor & Employment Consultant and Expert. Sponsored by the Committee on Women in the Law, the Committee on Continuing Legal Education, the Labor and Employment Law Section and the Corporate Counsel Section of the New York State Bar Association.

The program will objectively address what sexual harassment is and what happens in real time when employees and employers are faced with actual or alleged sexual harassment in the workplace. These issues will be addressed from the perspectives of a victim, a human resource professional, an investigator, attorneys for the employees and management, a mediator and a crisis communications consultant. Panelists will cover current standards in employment law, policies and procedures, practice skills, and trends in investigations. Additionally, the panel will address counseling victims and clients when facing sexual harassment issues (even if you are not an employment attorney and get “that” call), including a client’s options. Finally, panelists will address how they would counsel their clients on best practices to prevent and address harassment, negotiate and problem-solve these issues, and avoid retaliation and potential damage to reputations. All are welcome to attend.  

Program Details:

Thursday, May 31, 2018
CLE Program | 6:00 p.m. – 7:30 p.m. | Reception to follow 
Program Location: Outten & Golden LLP 685 Third Avenue (bt 43rd & 44th) | New York, NY
1.5 MCLE Credits; 1.5 Areas of Professional Practice

Program Info & Registration at NYSBA

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05-08-18

Join us at the NYC Bar Association’s White Collar Crime Kickoff Reception

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Join Bates as we co-sponsor the NYC Bar Association’s White Collar Crime kickoff reception, Tuesday, May 8, 2018 at 6:30 PM. Meet and talk with Bates CEO Jennifer Stout and Directors Sejal Patel and Beth Finkle.

Learn about Bates Group's Financial Crimes Practice, including:

  • Investigation Services and Support
  • White Collar Crime Consulting and Testifying Experts
  • Anti-Money Laundering Investigations
  • Forensic Accounting
  • Asset Tracing

Then, let's continue our conversation at the 7th Annual White Collar Crime Institute the following day.

Please contact us to arrange a time to discuss your case needs. Or, contact us during the show by phone or text at: (917) 603-1666.

For more immediate case assistance, please contact Geoff Winkler, Director, Financial Crimes. We look forward to meeting you at the reception and Institute!

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04-26-18

2018 SEC Exam Priorities and Pronouncements: Compliance Insights for Success Webinar

2018 SEC Exam Priorities and Pronouncements: Compliance Insights for Success Webinar

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. Robert will address:

  • OCIE 2018 key themes & top examination priorities
  • Steps your firm should be taking now to meet compliance obligations and regulatory expectations
  • Recent pronouncements made by SEC Chair Jay Clayton
  • What we are seeing and hearing
  • What to expect going forward

Recommended Attendees:  Compliance, General Counsel/Legal, Risk Officer, Management

Release date: April 24, 2018

Click the link below to sign in and view the presentation 
 

GO TO WEBINAR

 

About Bates Group:

Bates Group has been a trusted partner to financial services firms and counsel for over 30 years, providing end-to-end solutions on legal, compliance and regulatory matters. Our roster of 125 industry consultants and experts offer services in compliance solutions, regulatory and internal investigations, litigation consultation and testimony, and damages consulting. The Bates Compliance Solutions team of experienced compliance professionals provide comprehensive offerings for broker-dealer and registered investment adviser clients, assisting them with supervision, compliance, risk, AML, and internal audit functions. BCS can assist your firm by performing as-needed or ongoing reviews and guidance to meet your regulatory compliance obligations. Our seasoned professionals closely review and test policies and procedures, supervisory and compliance processes, and the related practices involved in operating your business, recommending changes and industry standards to supplement and enhance clients' compliance and supervisory systems, and remediate the results of regulatory, litigation, and internal audit findings and decisions.

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11-15-17

Bates Expert Dr. Shane Shook to Speak on Cadwalader Cybersecurity CLE Webinar on November 30, 2017

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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.

The program will address the current state of play in cybersecurity trends and issues. It will examine the evolving nature of attacks and victims, what financial institutions can do to mitigate their cybersecurity risk and how they can effectively respond to a cyberattack, and the legal obligations and potential areas of liability for firms that fail to adopt adequate cybersecurity compliance programs and controls.

Dr.  Shook will discuss the fundamentals of cyber technical risks: eavesdropping, protected information theft and money laundering through accounts takeover, for both securities and commodities markets, as well as direct theft and fraud. He will also address how the primary market risk is actual exchange or OTC trading with stock protected information, both in traded as well as futures, and how this is exercised by hackers to gain market advantages.

1.0 NY Professional Practice credit will be offered for this program. Both Newly Admitted and Experienced attorneys are eligible to receive credit.

Please click here to register for this complimentary CLE webinar.

Read recent commentary by Dr. Shook and Bates Group Director of Institutional Litigation Alex Russell on Big Data in Enforcement and How Compliance Should Prepare.

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11-07-17

Michael Bernardo to Speak at 2017 St. Louis Securities Symposium

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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.

 

Mike will be making remarks on the Compliance Roundtable session moderated by James Crowe III (Partner, Dowd Bennett) with panelists Patrick Dogan (Director, Capital Markets and Operations Compliance, Edward Jones), Elizabeth Kaplan (Associate Director of Compliance, Hilliard Lyons) and Kelly Zigaitis (Senior Vice President, Corporate Compliance, Scottrade).

 

CLICK HERE FOR EVENT DETAILS

 

About Bates:

Bates Group has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a Best Securities Litigation Consulting Firm by readers of the New York Law Journal, Bates Group provides end-to-end solutions on legal, regulatory, and compliance matters for financial services firms and their counsel. With a roster of over 100 financial industry and regulatory experts, Bates offers services in litigation consultation and testimony, regulatory and internal investigation matters, regulatory enforcement matters, AML solutions and staffing, compliance solutions, forensic accounting and fraud investigations, and damages consulting.

 

Want to know more? Connect with Bates Group on LinkedIn and Twitter.

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06-16-17

Fraud Director Geoff Winkler to Speak at 28th Annual ACFE Conference Tuesday; Visit Bates Booth #202

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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.

Mr. Winkler and his team of Fraud & Forensic experts and professionals provide strategic and focused consulting as well as investigative and asset recovery services, valuation, fiduciary and other related services.  He is recognized as a Certified Fraud Examiner by the Association of Certified Fraud Examiners (ACFE) and a Certified Insolvency and Restructuring Advisor by the Association of Insolvency and Restructuring Advisors (AIRA).  Before coming to Bates Group, Mr. Winkler was a business consultant and turnaround professional, often functioning as interim CFO, COO or general manager while working to either restore the company to financial and organizational health or determine and execute the best plan to close or sell the business.  He has experience working closely with the Securities and Exchange Commission, the Federal Trade Commission, and other federal and state agencies.  In 2011, he and his team were awarded the Turnaround Management Association's "Turnaround of the Year" award.

About Bates

Bates Group LLC has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis.  Bates Group’s Fraud and Forensic Investigations division and AML services team offer a valuable combination of both industry and technical expertise, providing the highest possible value to our legal and financial industry clients facing internal investigations, regulatory inquiries or complex litigation.  Through our fraud prevention and deterrence services, detection and recovery expertise, forensic accounting and fiduciary services, and AML investigation and regulatory capabilities, Bates works with firms to reduce the likelihood of fraud and limit the financial, regulatory and reputational impact of fraud that has occurred.  Bates Group supports you every step of the way.

For more information about Bates Group, including our Fraud and Forensic Investigations and AML services, please contact Bates at (503) 670-7772 or contact@batesgroup.com. To contact Geoff Winkler directly, please email gwinkler@batesgroup.com.

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04-10-17

Newest Bates Expert Tim Durno to make Remarks at Palm Beach County Securities Seminar on April 12th

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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. Program details and registration info can be found here.

Mr. Durno began his career in 1986 as an advisor for Paine Webber, Inc. in their flagship Palm Beach Office. He has been in a management role for the last 16 years (with the successor firm, UBS), as both a Branch Manager in a number of markets and as a Regional Administrative Officer prior to his retirement in 2016. His years of experience give him the ability to successfully navigate through the industry on behalf of Branch Managers, Financial Advisors, shareholders and clients. He is well versed and current on the issues facing advisors, firms and clients in today’s market, including in the areas of employment and recruiting matters, investment suitability for clients, specifically senior investors, sales supervision and sales practice, wealth management and matters involving unauthorized trading, recruiting of advisors, and supervision, compliance and employment matters. View full CV.

About Bates:

Bates Group LLC has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis. Voted a 2015 & 2016 Best Securities Litigation Consulting Firm by readers of the New York Law Journal, Bates Group provides end-to-end solutions on legal and compliance matters for financial services firms and their counsel. Bates, along with its roster of over 100 financial industry and regulatory experts, offers services in litigation consultation and testimony, regulatory and internal investigations, compliance and AML solutions, fraud and forensic investigations services, and damages and big data consulting. Building on three decades of working with leading law firms, financial services companies and regulatory bodies, Bates Group supports you every step of the way.

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04-05-17

Bates Expert Paul Carroll To Speak At Upcoming NYSBA Securities Conference

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Bates Group is proud to sponsor the New York State Bar Association’s 2017 Securities Arbitration and Mediation Conference: The Courage to Simplify on April 6, 2017, in New York City. We are also pleased to announce that our affiliate expert, Paul Carroll, will be a featured speaker at the Conference on a panel discussing Supervisory and Clearing Firm Liability. Click here for Paul’s full bio.

 

About Bates:

Bates Group LLC has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis.  Voted a 2015 & 2016 Best Securities Litigation Consulting Firm by readers of the New York Law Journal, Bates Group provides end-to-end solutions on legal and compliance matters for financial services firms and their counsel. With a roster of over 100 financial industry and regulatory experts, Bates offers services in litigation consultation and testimony, regulatory and internal investigations, compliance and AML solutions, fraud and forensic investigations services, and damages and big data consulting. With three decades of working with leading law firms, financial services companies and regulatory bodies, Bates Group supports you every step of the way.

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03-30-17

Bates AML Experts At ACAMS Spring Conference

Bates Expert Alison Jimenez to speak on AML Panel

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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 is the author of “Unmasking Bias in Anti-Money Laundering Algorithms” which was published in the Fall 2017 Issue of ACAMS Today. She served as the moderator for an ACAMS webinar on “FINRA’s Recent AML Enforcement Actions” in February 2017 and was a panelist on “Identifying Global Aspects of Illicit Financial Networks” at the Department of Defense’s 16th Annual Counter Threat Finance Working Group meeting in October 2016. Ms. Jimenez has been retained as an expert on AML issues in federal and state courts, arbitrations, and regulatory enforcement actions.

Geoff Winkler, Bates Director of Fraud and Forensic Investigations, AML Investigation Services

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We are also pleased to announce that Geoff Winkler, Bates Group’s Director of Fraud & Forensic Investigations, will be attending the 2017 ACAMS conference. Mr. Winkler is responsible for overseeing Bates Group’s AML investigation services, including preparing regulatory responses, preemptively reviewing previous AML investigations (look back) or attempting to reduce a backlog of current alerts (business as usual). 

About Bates:

Bates Group LLC has been a trusted partner to our financial services clients and their counsel for over 30 years, delivering superior quality and results on a cost-effective basis.  Our regulatory and compliance consulting division, Bates Compliance Solutions (BCS), is comprised of a team of experienced former regulators and compliance professionals, including CAMS certified individuals.  We provide a comprehensive set of compliance, regulatory and risk management products, consulting and expert testimony services along with continuing guidance and support tailored to the specific needs and requirements of our broker-dealer, IA, and hedge fund clients, with a special emphasis on conducting comprehensive reviews and testing of AML compliance programs. Bates Group’s Fraud and Forensic Investigations division and AML services team offer a valuable combination of both industry and technical expertise, providing the highest possible value to our legal and financial industry clients facing internal investigations, regulatory inquiries or complex litigation.

For more information about Bates Group, including our Fraud and Forensic Investigations and AML services, please contact: 

Geoff Winkler

Director, Fraud & Forensic Investigations
503.670.7772
gwinkler@batesgroup.com

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02-21-17

Bates Expert Professor Ronald Filler to Speak at ABA Spring Financial Crisis Panel

Bates Expert Professor Ronald Filler to Speak at ABA Spring Financial Crisis Panel

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 Meeting Panel, “Financial Crisis Reform or a Financial Crisis Missed Opportunity?” in Washington, D.C., April 25-28, 2017.

Professor Filler is the author of several recent articles and the co-author of “Will the New Supreme Court Case in Salman Result in More CFTC Enforcement Cases Charging Insider  Trading?” which will be published in the March 2017 Issue of Futures & Derivatives Law Report. He served as a panelist on Whistleblowers and Legal Ethics at the ABA’s Derivatives and Futures Law Winter Committee Meeting in Naples, FL, January 19-21, 2017 and as the keynote speaker at the Chicago Bar Association’s Futures and  Derivatives Law Committee’s “The Changing Regulatory Landscape of the Futures and Derivatives Industry“ program on February 15, 2017.

Professor Filler was recently reelected to the Executive Committee of the National Futures Association (NFA) as a Public Representative and has served on numerous industry boards and advisory committees throughout his 35+ years in the industry.

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02-14-17

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz to Speak at NYCLA CLE on February 15, 2017

Bates Expert Miriam Lefkowitz will be a featured speaker at the 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. Click Here for more information and to register.

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02-13-17

SIFMA / Bates Group 2017 Leaders & Experts Forum

Over 100 people attended our SIFMA/Bates Group Leaders and Experts Forum in New York City on January 26th: “Successfully Managing Regulatory Investigations and Enforcement Matters in the New Regulatory Landscape and Big Data Age.” Bates would like to thank SIFMA for partenering with us again this year, and express our gratitude to all attendees and our outstanding group of panelists.

Click Here to view our photo gallery of the event. 

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