News – Bates News

Bates News, Events  |  05-03-21

Bates Upcoming This Week: SWIFS Spring Symposium and Spirits of Pace

Bates CEO Jennifer Stout and Expert Linda Houston will be speaking at the upcoming Fifth Annual Southeastern Women in Financial Services (SWIFS) Spring Symposium on May 4, 2021. Bates is also a sponsor of the 2021 Spirits of Pace event on May 6, benefitting the Pace Center for Girls, Hillsborough, FL.

Bates News  |  04-20-21

Bates Welcomes Our New Experts and Consultants

Bates Group welcomes our new experts and consultants (Pictured from L):

• Ana Suárez - Chief Compliance Officer, BD and IA Compliance, AML and Risk, Policy & Procedures, Regulatory Filings
• Lorraine Lee - Former Regulator, Statutory Disqualification, FINRA Eligibility Proceedings
• Tany Durkee Urbach - Former State Securities Commissioner, Ponzi Scheme, Securities Fraud, IA and BD Regulatory Compliance

Bates News  |  04-07-21

Welcome to Bates AML & Financial Crimes: In Brief - Practitioner News, Webinars and Resources for Professional Success

We’re launching our inaugural Bates AML & Financial Crimes: In Brief publication to bring to AML leaders important AML and Financial Crimes news and updates, including spotlights on our AML and Financial Crimes staff and experts, upcoming programs you can attend, and thought leadership resources to support your professional success.

Bates News  |  03-08-21

Bates Celebrates International Women’s Day 2021

We are honoring women globally, committing to forge a more inclusive world, and celebrating our Bates Group colleagues, clients, and friends this 2021 International Women's Day.

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.

Bates News  |  02-24-21

Bates Group Teams with Innova Learning to Train, Consult Financial Services Firms to Meet Regulatory Challenges

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.

Bates News  |  01-28-21

Bates Welcomes Our New Experts and Consultants

Bates Group is proud to welcome our newest experts and consultants (clockwise from top L):

• Andrew Auslander, CFA, FRM - Financial Risk Management, Bonds, Corporate Lending
• David F. MacNair - AML, Fraud Prevention, FINRA Arbitrator
• Annemarie McAvoy - Financial Crime Compliance, AML and Terrorist Financing, Internal Investigations
• Samuel Turvey - Compliance, Regulatory Response, Arbitration

Bates News  |  12-22-20

SWIFS December 2020 Spotlight on Bates Group CEO Jennifer Stout

Bates Group CEO Jennifer Stout is featured by Southeastern Women in Financial Services (SWIFS) in their December 2020 Member Spotlight.

Bates News  |  12-18-20

Bates Compliance Welcomes New Senior Consultant Kent Keister, IACCP®

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.

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.