News – Bates News

Bates News  |  10-28-20

Bates Compliance-SIFMA Webinar Highlighted by WealthManagement

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.

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Bates News, Bates Research  |  10-13-20

Important Takeaways from SIFMA-Bates Virtual Branch Office Compliance Visits Webinar

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.

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Bates News  |  09-24-20

Announcing Our Newest Experts

Bates Group is proud to welcome our newest experts and consultants: 

  • Gary Ferrari - AML, Financial Crimes, Global Compliance Risk Management
  • Barbara A. Halper, JD, MBA - BD-IA Compliance, Seniors and Vulnerable Investors, Compliance Testimony
  • Timothy McClendon, CIC, CWCA - Insurance, Workers’ Compensation, Risk Management
  • Edward Truax - Insurance and Annuities, 401K/Pension/Retirement, Elder Issues
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Bates News  |  09-11-20

CEO Message: 9/11 National Day of Remembrance

Today marks 19 years since the tragic and devastating events of 9/11. Read the message from Bates Group CEO Jennifer Stout

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Bates News, Events, Bates Research, Compliance and Regulatory Alerts  |  09-03-20

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. 

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Bates News, Events  |  08-20-20

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

Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this complimentary webinar examining new compliance concerns arising out of the COVID-19 pandemic, including Branch Audits, Selling Away and more. Thursday, August 20, 2020 at 2:00 p.m. Eastern.

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Bates News, Events  |  08-05-20

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

Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020,  “Capital Market Uncertainty in the Time of COVID-19 and the Potential Litigation and Regulatory Impact” when we look at 2020 in the context of past bear markets, compare the 1918 influenza pandemic to today, discuss the sectors and industries hardest hit by the economic disruption, and potential capital market-related litigation and regulatory enforcement matters on the horizon. Featuring (L-R) co-moderators Jack McGuire of Oppenheimer & Co. and Esther Cho of Keesal, Young & Logan, along with Greg Kyle, Bates Group Director and Expert. REGISTER HERE

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Bates News  |  08-05-20

Bates Group, Complidata Bring Expertise and A.I. Technology Together to Optimize AML and Compliance

Bates Group and Complidata today announced a partnership to combine leading financial crime industry expertise and Artificial Intelligence (A.I.) technology together in a joint approach to assist financial institutions with tuning and optimizing their anti-money laundering operations and compliance. Based in Belgium, Complidata is a leader in the use of A.I. to drive automation and optimization for improved regulatory compliance. The partnership will assist financial institutions with the tuning and optimization of their transaction monitoring and sanctions and name screening systems — significantly increasing efficiencies and effectiveness in their processes and procedures while reducing the percentages of false-positive alerts.

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Bates News  |  07-24-20

Welcome to Our New Bates Experts

Bates Group is proud to welcome our newest experts and consultants: 

Amy Bard, Esq.- Sales Practice Litigation, Compliance, Senior Investors

Paula Barnes - Retail Industry Expert, Retail Contracts, Regulatory and Compliance investigations

Linda Houston - Wealth Management, Branch Management, Hiring and Recruiting, Retail Securities Litigation and Arbitration

Donald Mattersdorff, CFA - Investment Advisory, Risk Management, Securities Analysis (Equity and Fixed Income)

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Bates News, Bates Research  |  07-22-20

Bates Practice Leadership Insights: Julie Johnstone on the Changing Litigation Landscape

As Managing Director for Bates Group's Retail Litigation practice, Julie Johnstone manages and oversees financial litigation and arbitration matters. Her team assists broker-dealer and investment advisers, banks and insurance companies, as well as State and Federal Regulators, throughout the life cycle of their retail litigation matters, from early case assessments, profit and loss reports, damage analyses, and “what if” scenarios, to expert consultation and testimony at hearing, as well as mediation and settlement support. We asked Julie to consider the state of retail litigation in light of the pandemic and to anticipate some of the long-term implications on case management and dispute resolution going forward.

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