Bates Group and SIFMA Co-Host “The 2015 Leaders & Experts Forum“

New York City – May 28, 2015

On May 28, 2015, Jennifer Stout, President/CEO, Bates Group, gave the closing remarks at the "Leaders & Experts Forum: A Mid-Year Conversation" co-organized by SIFMA and Bates Group LLC. The half-day Forum occurred at SIFMA's Conference Center in New York City and was attended by senior legal and compliance professionals.

Alex Russell, Head of Bates Research (a division of the Bates Group LLC), also spoke at the conference. Mr. Russell spoke on the “Future of Data Analytics and Innovation.” In particular, he introduced Bates Group’s new regulatory intelligence product RegTelligence™, a comprehensive database of financial services regulatory enforcement activity, including fines, penalties and sanctions, from U.S. SROs, federal, state and select international regulators.

The Leaders & Experts Forum: A Mid-Year Conversation featured two panels.

The first panel, "SEC and Regulatory Priorities Impacting Wealth Management" was moderated by BRIAN F. AMERY, Founding Partner, Bressler, Amery & Ross, P.C., and featured:

• KEVIN CARROLL, Managing Director & Associate General Counsel, SIFMA;
• KENNETH G. CROWLEY, Executive Director & Deputy General Counsel, UBS Financial Services Inc.;
• TODD COOK, Managing Director & Associate General Counsel, JPMorgan Chase & Co.; and
• DEAN PINTO, Executive Director, Morgan Stanley Wealth Management.

The second panel, "The Drive for Data: Analytics and Innovation" was moderated by MICHAEL D. WOLK, Partner, Sidley Austin LLP and featured:

• LAURA B. ELLENHORN, Director of Office of Regulatory Counsel, Edward Jones;
• IRA D. HAMMERMAN, Executive Vice President & General Counsel, SIFMA;
• ROBERT J. McCARTHY, Senior Vice President & Director of Regulatory Policy, Wells Fargo Advisors; and
• ALEX RUSSELL, Head of Research, Bates Group LLC

A Keynote Address was made by Scott W. Bauguess, Deputy Chief Economist & Deputy Director, U.S. Securities and Exchange Commission, who spoke on the "SEC's use of Data Analytics in Market Risk Assessment Activity."

A networking reception immediately followed the Forum.