Bates News | 09-02-21
Bates 2021 Summer Roundup: Catch Up On What You Missed and What’s Happening Going Forward
Summer is coming to a quick close and we hope you had a chance to power down and enjoy some fun in the sun!
While you are celebrating the final days of summer, we’ve compiled our annual summer roundup of news that you may have missed, as well as a sneak peek of live and virtual events happening this Fall. We’ve even included a bonus track at the end of our list to help us all embrace these eventful times.
Enjoy your Labor Day and here's to a great Fall!
Bates Industry Blogs and Articles:
- Employment Issues: What to Expect Going Forward - Webinar Takeaways 8/19/2021
- The Inevitability of Cryptocurrency Regulation: The Race to Establish a Regulatory Framework is On 8/12/2021
- SEC Focuses on Wrap Fee Programs, Fixed Income Principal and Cross Trading Compliance Deficiencies in New Alerts 8/4/2021
- Coordinating on Ransomware: Federal, State Law Enforcement and Regulators Mobilize 7/23/2021
- FinCEN Posts AML Priorities: A Road Map for Compliance 7/15/2021
- Temporary Holds and Other Developments to Address Senior and Vulnerable Investor Financial Exploitation 7/8/2021
- SEC Chair Gary Gensler’s Rulemaking Priorities Emerge 6/17/2021
- Regulating Cryptocurrency: New Players, New Urgencies 6/11/2021
Compliance and Regulatory Alerts:
- Regulatory Alert: FINRA Exam Letter Targets Options Trading 8/17/2021
- SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures 7/27/2021
- SEC Appoints New Jersey Attorney General Gurbir S. Grewal as Director of Enforcement 6/29/2021
- FinCEN Issues First National AML/CFT Priorities 6/30/2021
- Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 1: Form CRS 6/3/2021
- Regulators Get Tough on Reg BI and Form CRS Phase Two Compliance – Part 2: Reg BI 6/3/2021
News & Media:
- Bates Welcomes New Managing Director Rhonda Davis and Bates Welcomes Mary Simonson to Bates Compliance 7/14/2021 and 7/7/2021
- Bates Expert Ronald Filler Honored by New York Law School with Launch of the Filler Institute for Financial Services Law 6/17/2021
- Bates in the News: Managing Director Linda Shirkey Quoted in Two Articles 6/24/2021
- Bates Managing Director Hank Sanchez Quoted in ThinkAdvisor Article and Featured in FSDA Member Spotlight Interview 7/19/2021 and 6/4/2021
- Emerging Issues in Insurance Practice and Litigation 8/3/2021 – sign up to view
- Current and Future Employment Issues: What to Expect Going Forward 6/16/2021 – sign up to view
9/11/2021 – Raymond James Valor Network Golf Outing honoring and supporting veterans. Bates is a Proud Sponsor
9/12/2021 to 9/15/2021 – IBDC Risk Management Conference – Bates Director and Expert Andrew Daniel will be speaking at this live industry conference chaired by Lilian Morvay, IBDC principal and Bates Expert.
9/29/2021 – Bates Compliance Webinar: "Deconstructing the SEC’s New Marketing (and Solicitor) Rule" featuring Bates Compliance’s Linda Shirkey and Rhonda Davis.
9/30/2021 – Florida Securities Dealers Association Industry Outreach Program "2021: Charting A Path Forward" live and virtual event – Bates is a diamond sponsor.
10/28/2021 – Bates Cryptocurrency Webinar (Pre-Register) – Join Bates and guests for the latest cryptocurrency developments.
11/8/2021 to 11/10/2021 – NSCP National Conference – Visit our in-person exhibit and attend three live panels featuring Bates Compliance Linda Shirkey, Hank Sanchez and Expert William Webb. Bates is a proud Silver MemberAlly Sponsor.
11/17/2021 to 11/19/2021 – American Bar Association Women in Litigation Conference – Join Bates Group Expert Sheila Murphy when she speaks on the panel “We’ve Come a Long Way Baby – Or Have We? Examining the Gender Gap In Financial Services Litigation.”
12/6-7/2021–Join us at the BasisCode Compliance Consortium, in St. Pete Beach, FL. – Featuring Bates Compliance speakers Hank Sanchez and Rhonda Davis. Register now and use promotional code BATES to receive a 20% discount.
Bonus Track to Lift Your Spirits:
We recommend blasting this tune, enjoying a cool drink, dancing and smiling!!
For additional information and practice support, please Contact Us today and follow the links below to Bates Group’s Practice Area pages. Our team is always delighted to take your calls.