
Bates News | 03-02-21
Bates in the News
UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director and panelist Linda Shirkey.
DetailBates News | 03-02-21
UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director and panelist Linda Shirkey.
DetailBates News | 02-24-21
Bates Group and Innova Learning, Inc. today announced a joint effort to provide advanced training programs, subject matter expertise, and consulting services to financial services industry companies and the legal counsel who serve them.
DetailBates News | 01-28-21
Bates Group is proud to welcome our newest experts and consultants (clockwise from top L):
Bates News | 12-22-20
Bates Group CEO Jennifer Stout is featured by Southeastern Women in Financial Services (SWIFS) in their December 2020 Member Spotlight.
DetailBates News | 12-18-20
Bates Compliance is proud to welcome new Senior staff Compliance Consultant Kent Keister. Based in Columbus, Ohio, Mr. Keister assists investment advisers, broker-dealers and wealth management organizations in navigating complex issues.
DetailBates News | 10-28-20
A recent article from WealthManagement.com highlights comments made at the Bates Compliance-SIFMA webinar on virtual branch office visits, held October 5, 2020. This webinar is available for on-demand viewing from SIFMA.and features Bates Compliance Director Jill Ehret.
DetailBates News, Bates Research | 10-13-20
On Monday, October 5, 2020, nearly 700 Compliance, Supervision, Risk, Legal and Regulatory experts and professionals tuned in to a panel discussion covering virtual branch office inspections and the challenges facing regulators and industry supervision and compliance teams. The webinar, jointly organized by Bates Compliance and SIFMA, reviewed the current requirements and status of branch office inspections, recent regulatory relief, and compliance expectations for on-site inspection requirements going forward. Here are some important takeaways from this discussion.
DetailBates News | 09-24-20
Bates Group is proud to welcome our newest experts and consultants:
Bates News | 09-11-20
Today marks 19 years since the tragic and devastating events of 9/11. Read the message from Bates Group CEO Jennifer Stout
DetailBates News, Events, Bates Research, Compliance and Regulatory Alerts | 09-03-20
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.
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