News – Events

Events  |  09-30-21

Bates Sponsors FSDA Outreach Program 2021, September 30 in Tampa

Bates Group is a proud Diamond sponsor of the Florida Securities Dealers Association Industry Outreach Program "2021: Charting A Path Forward." Thursday, September 30 in Tampa, FL.

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Events  |  09-17-21

Bates Compliance Webinar - Deconstructing the SEC’s New Marketing (and Solicitor) Rule

Join Bates Compliance leaders Linda Shirkey and Rhonda Davis for this complimentary webinar as they examine key provisions of the new marketing rule, address investment adviser concerns, and discuss practical ways to conform oversight, recordkeeping and disclosure requirements under the rule. Wednesday, September 29, 2021 at 1:00 p.m. ET.

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Events  |  08-31-21

Bates Sponsors the IBDC 2021 Risk Management Conference

Bates Group is a proud sponsor of the  IBDC 2021 Risk Management Conference, September 12-15, 2021, at the Montage Palmetto Bluffs in Bluffton, SC. This conference is attended by Chief Executive Officers, Chief Compliance Officers, Risk Management Officers, and Due Diligence Officers of major national IBDs and RIAs. Bates Group Director Andrew Daniel is a featured speaker.

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Events  |  08-30-21

Bates Sponsors Raymond James’ 2021 Valor Golf Outing - 9/11/2021

Bates Group is proud to honor and support veterans as a sponsor of the Raymond James Valor Network annual golf tournament event on Saturday, September 11th, 2021.

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Events  |  07-22-21

CLE Webinar August 3, 2021 - Emerging Issues in Insurance Practice and Litigation

Join Bates Insurance Experts on Tuesday, August 3, 2021 for an informative CLE webinar discussing cyber insurance and vanishing premium litigation, among other hot topics.

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Events  |  06-02-21

Upcoming CLE Webinar June 16th - Current and Future Employment Issues: What to Expect Going Forward

Join Bates Group for this new, complimentary 1-hour webinar examining the effects that remote working conditions during the pandemic had on supervisory activity, disciplinary actions and terminations — what we are seeing today and what to expect going forward. Panelists include industry leaders and experts who will share their insight on the developing issues impacting employers and employees in 2021.

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Events  |  05-13-21

Visit the Bates Compliance Virtual Exhibit Booth at the FINRA Annual Conference, May 18-20, 2021

Bates Compliance is proud to return as an exhibitor to the 2021 FINRA Annual Conference May 18-20, 2021. Visit our virtual exhibit booth to chat with Bates representatives, download useful industry analysis and resources, and enter the booth raffle for a chance to win!

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Events  |  05-10-21

Webinar Tomorrow May 11th: Achieving AML Program Success through AML Optimization and Data-Driven Compliance: What AML Practitioners Need to Know

Anti-Money Laundering continues to be a top target of examiners and enforcement, resulting in professional repercussions and millions of dollars of fines each year. Financial institutions and AML professionals are under increasing pressure now more than ever. Join us for this program to hear insights on managing these new realities during this time of increased regulatory scrutiny.

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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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Events  |  04-23-21

Upcoming Webinar from Bates and NICE Actimize : What does the new AML Act of 2020 mean for your organization?

Bates AML and Financial Crimes and NICE Actimize will be co-hosting a webinar on the Anti-Money Laundering Act of 2020 ("AMLA").on April 28, 2021 at 11:00 a.m. ET.

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