News – Bates News

Bates News, Bates Research  |  06-09-20

Bates Practice Leadership Insights: What AML Officers are Thinking About Now

Bates continues our practice leadership conversations this week with Edward Longridge, Managing Director of Bates Anti-Money Laundering and Financial Crimes Practice, for his views on the matters most pressing for AML officers right now, including coronavirus-related fraud, transaction monitoring, and third-party risk management. Here is a recap of our conversation.


Bates News, Bates Research  |  06-05-20

New Capital Market Insights White Paper: Bear Markets, Black Swan Events and Volatility

The first part of this year has been challenging for the equity markets. In March, the S&P 500 Index plunged into bear market territory as volatility soared to historic levels. The sudden appearance of a severe global pandemic is just the most recent example of a “black swan event” roiling the markets. In this paper, Bates Director and expert Greg Kyle examines in detail bear markets, black swan events, and volatility to gain some perspective on how the recent—or current?—bear market compares with historical periods.


Bates News  |  06-04-20

CEO Message: Standing up to Racial Injustice

A message from Bates Group CEO Jennifer Stout


Bates News  |  06-02-20

Introducing Bates Group’s Business Interruption Litigation Support

Bates Group’s industry-leading insurance, forensic accounting and economic damages experts stand ready to assist Insurers and agents in the many challenges they face as result of pandemic-related business interruptions, including pre-litigation claims reviews and multi-faceted support should a matter proceed to litigation.


Bates News, Bates Research, Compliance and Regulatory Alerts  |  05-20-20

Bates Practice Leadership Insights: What Compliance Officers are Thinking About Now

In this first of a series of conversations with Bates Group practice leaders, we caught up with Robert Lavigne, Managing Director and Bates Compliance Practice Leader, and Hank Sanchez, Esq., Bates Compliance Managing Director and former SEC and FINRA regulator, to get an understanding of what they are hearing from compliance officers right now, as well as advice for compliance teams in the "new normal."


Bates News  |  05-11-20

Welcome Our New Bates Experts

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

Kathy D. Ireland – ERISA, Investment Advisers Act, Codes of Ethics

Philip Lieberman, CPCO, CLU – Property and Casualty Insurance

Jennifer Luce – Accounting, Media, Publishing

Mike Steinmetz – Cybersecurity


Bates News  |  05-07-20

Bates Group Welcomes New Managing Director Steven Engel

Bates is proud to welcome Steven Engel as a new Managing Director on the Bates Compliance team. At Bates, Steven will be working directly with clients to support their risk and compliance activities and solutions.


Bates News  |  03-18-20

What We Have Learned From Previous Market Downturns and Corrections

Over the course of the last 40 years we’ve seen plenty of ups and downs in the markets. Along the way, Bates Group has helped our clients sort through the complexities and fallout by providing clear and accurate analyses, reporting, and expertise.


Bates News, Compliance and Regulatory Alerts  |  03-17-20

FINRA Postponement of In-Person Arbitration & Mediation Hearings

FINRA has announced that, in response to the evolving coronavirus disease 2019 (COVID-19), it “has decided to administratively postpone all in-person arbitration and mediation proceedings scheduled through May 1, 2020. “


Bates News  |  03-16-20

UPDATE: NSCP Regulatory Interchange with the SEC, DOL & FINRA: July 24, 2020 in Denver, CO.

NSCP Regulatory Interchange with the SEC, DOL & FINRA: Moved to July 24, 2020 in Denver, CO. Bates Compliance Managing Director Linda Shirkey is a speaker/moderator.


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