News – Bates News

Bates News  |  06-24-21

Bates in the News: Managing Director Linda Shirkey Quoted in Two Articles

Bates Compliance Managing Director Linda Shirkey is quoted in a June 15, 2021 article on ThinkAdvisor, "Excited About SEC's New Ad Rule? Not So Fast." She is also quoted in a Risk.net article on family office regulation in light of the Archegos collapse.

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Bates News  |  06-17-21

Bates Expert Ronald Filler Honored by New York Law School with Launch of the Filler Institute for Financial Services Law

On May 21, 2021,  New York Law School announced the launch of the Ronald H. Filler Institute for Financial Services Law. Named in honor of distinguished Professor Emeritus and Bates affiliate expert Ronald H. Filler, the Institute will provide cutting-edge educational programming, CLE panels, and speaker forums for students and practitioners that respond to emerging challenges in securities, derivatives, banking, and insurance laws and regulations.

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Bates News  |  06-04-21

Bates Managing Director Hank Sanchez featured in FSDA Member Spotlight Interview

Bates Compliance Managing Director Hank Sanchez sat down recently with the Florida Securities Dealers Association for a Member Spotlight interview.

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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.

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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
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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.

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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.

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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.

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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.

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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
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