News – Events

Events  |  04-28-22

Bates is a Proud Sponsor of the 2022 SWIFS Spring Symposium, May 3, 2022

Bates is proud to sponsor the SWIFS 2022 Spring Symposium, May 3, 2022 at Raymond James headquarters in St. Petersburg, FL.

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Events  |  04-21-22

Bates Compliance’s Rhonda Davis and Hank Sanchez to Speak at FMA’s 2022 Securities Compliance Virtual Seminar on “Crypto and Digital Assets - AML and BSA/OFAC Fraud Implications.”

Bates Compliance Managing Directors Rhonda Davis and Hank Sanchez will be speaking at the Financial Market Association's 2022 Securities Compliance Virtual Seminar, March 5-6, 2022. This 2-day virtual event focuses on current compliance topics, new rules or interpretations and regulatory initiatives for financial institutions and their affiliated broker dealers.

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Events  |  04-21-22

Visit Bates at the 2022 FINRA Annual Conference, Booth #8, in person or virtually May 16-18, 2022. We’re a Proud Sponsor.

Bates Compliance is proud to return as a sponsor of the 2022 FINRA Annual Conference, May 16th-18th, 2022, in Washington, D.C. Join us in person at booth #8 or virtually to discuss the issues that matter most for the financial services industry.

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Events  |  04-21-22

Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022

Meet Bates Compliance Managing Director Hank Sanchez at the SIFMA 2022 Operations Conference & Exhibition, May 16-19, 2022 at the JW Marriott Desert Ridge, Phoenix. The SIFMA OPS conference gathers operations, technology and regulatory leaders from across the securities industry to discuss the most critical priorities.

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Events  |  04-21-22

Join Bates at SIFMA’s Anti-Money Laundering & Financial Crimes Conference - Booth #14

Bates Group is a proud sponsor of SIFMA’s Anti-Money Laundering & Financial Crimes Conference, May 25-26, 2022 in New York City. Visit Bates at booth #14 and speak with our representatives about your AML, Compliance, BSA, Crypto and Digital Currency AML needs.

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Events  |  02-11-22

Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4. 2022. Visit us at booth #14 in the exhibit hall and connect with Bates leaders Jennifer Stout, Rory O'Connor and Hank Sanchez to hear about practical insights and best practices that can help you maintain a successful compliance program. Bates Compliance Managing Director Kurt Wachholz will be speaking on the panel "Ethics for Advisers: Compliance with Fiduciary Standards - Part 2" on Friday, March 4 from 8-9 a.m.

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Events  |  02-03-22

2022 Capital Markets Litigation and Regulatory Outlook CLE Webinar

Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related litigation, regulatory and enforcement areas to keep an eye on in 2022. Bates Group Managing Director Alex Russell will be joining the panel to discuss Regulatory issues and updates. Thursday, February 17th from 1:00 - 2:00 p.m. ET.

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Events  |  01-19-22

Join Bates at the 2022 NYSBA Annual Meeting and Presidential Summit

Bates is proud to participate in the 2022 New York State Bar Association Annual Meeting and its marquee event, the Presidential Summit, on Thursday, January 20, 2022. Led by NYSBA President T. Andrew Brown, the Summit will focus on two of the leading social justice and civil rights matters of the day: a reevaluation of the #MeToo Movement, and the intersection of transgender rights and sports. Bates Group Managing Director Susan Harper will moderate the #MeToo panel, and NY State Attorney General Letitia James will deliver the keynote address.

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Events  |  01-19-22

Virtual Event - Bates Group is the Proud Sponsor of SIFMA C&L Society’s “FINRA’s 2022 Priorities with CEO Robert Cook,” January 19 in NYC

Join The SIFMA Compliance & Legal Society for a one-on-one conversation between FINRA president and CEO Robert Cook and SIFMA president and CEO Kenneth E. Bentsen, Jr. Bates Group is proud to sponsor this virtual event on January 19, 2022. 

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Events  |  01-17-22

NYSBA Annual Meeting 2022 - Bates is Proud to Sponsor the Women In Law Section Symposium Jan. 18 & 25

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 18th Annual Edith I. Spivack Symposium – "Women Leaders: Driving Change by Opening Doors and Raising Our Voices" – and the Kay Crawford Murray Memorial Award program honoring an outstanding attorney who recognizes the value of diversity and mentoring in the legal profession. This two-day virtual event will be held during the 2022 NYSBA Annual Meeting on January 18 and 25, 2022. Registration is now open.

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