Bates News | 01-28-21
Bates Welcomes Our New Experts and Consultants
Andrew Auslander, CFA, FRM
Financial Risk Management, Bonds, Corporate Lending
Andrew Auslander is a Bates Group expert with over two decades of experience in Finance and Risk Management in several roles with global financial institutions. He is an expert in the valuation of corporate bonds and loans with extensive experience in Latin American and Eastern European bonds. For 12 years, Mr. Auslander managed customer credit risk, interest rate risk and funding risk. In addition, he co-chaired the Credit Risk Committee at an $11 billion private bank. He was recently retained as an expert witness in an arbitration involving emerging market bonds in the London Court of International Arbitration. Mr. Auslander is a certified Financial Risk Manager (FRM) by GARP and a Chartered Financial Analyst (CFA) by the CFA Institute. He has held FINRA series 7, 24, and 63 licenses.
David F. MacNair
AML, Fraud Prevention, FINRA Arbitrator
David MacNair is a Bates Group consultant and recognized subject matter expert in Anti-Money Laundering (AML), Financial Crime, and Securities Market Abuse matters. His career spans more than 30 years in the brokerage industry, where he began as a sales practice and net capital Examiner for FINRA (NASD). Mr. MacNair held a number of Legal & Compliance positions at Prudential Securities and subsequently at Smith Barney, where he conducted sales practice surveillance and later managed the AML Surveillance, Investigations, SAR filing and Fraud Prevention program. Mr. MacNair was most recently the Director of Financial Crime Surveillance & Investigations at Credit-Suisse, covering the U.S Broker Dealer, Credit-Suisse AG New York and Cayman Island bank branches. As a subject matter expert, Mr. MacNair has participated as both Moderator and Panelist at various industry conferences and presides as an Arbitration Panelist and Chairperson at FINRA Arbitration hearings. He is a member of the Association of Certified Fraud Examiners.
Financial Crime Compliance, AML and Terrorist Financing, Internal Investigations
Annemarie McAvoy is a Consultant and Expert at Bates Group in financial crimes, including Anti-Money Laundering (AML), Sanctions, Crypto-Currency and Anti-Bribery and Corruption compliance, internal investigations, fraud detection and prevention and crisis management. Ms. McAvoy has held in-house legal and compliance positions at Citigroup and Morgan Stanley, and she was a Senior Manager in Ernst & Young’s Financial Crimes Compliance Unit. Early in her career, She was an Assistant U.S. Attorney for the Eastern District of New York and, later, specialized in large financial crime cases at the Kings County (NY) District Attorney’s Office Rackets/Investigations Unit. Ms. McAvoy teaches classes on financial crime at Columbia’s Graduate School of International and Public Affairs and has also taught as an adjunct professor at Fordham Law School. She is a member of the Association of Anti-Money Laundering Specialists (ACAMS), the White Collar Committee of the American Bar Association and its Economic Crimes Subcommittee, and the Compliance Committee of the NYC Bar Association.
Compliance, Regulatory Response, Arbitration
Samuel “Sam” Turvey is a Bates Group expert with over 30 years of experience as an attorney and senior compliance officer in the Securities Industry. Since 2000, he has served in Chief Compliance Officer (COO) roles at some of the industry’s premier firms. In those roles, he has assisted firms in all aspects of compliance programs including strategic planning, rule implementations and execution of responses to compliance exams, enforcement matters, and regulatory inquiries. Mr. Turvey is also a licensed attorney who has defended firms and individuals—as outside and internal counsel in securities arbitrations, regulatory inquiries and hearings as well as large compliance projects. He has served on numerous industry and regulatory committees, including the SIFMA Compliance and Legal Executive Committee and FINRA’s District 10 Members Committee.