Events | 11-19-20
Join the New York Country Lawyers Association’s Securities & Exchange Committee on Wednesday, December 2, 2020 at 2 pm, when distinguished CLE panel members share their tried and true insights and guidance on managing FINRA virtual hearings and mediations. Hear about current and future virtual FINRA hearing developments to prepare for 2021.
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Events | 11-17-20
ABA CLE Event: Explore the dangers for seniors & vulnerable investors in the COVID19 era, and the response of regulators. Panel includes nationally-recognized senior issues expert witness & Bates director Joe Thomas, Bates senior issues expert Amy Bard, and Richard Szuch of the New Jersey Bureau of Securities Enforcement Division.
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Events | 10-21-20
Reg BI came into effect on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts Donald McElligott, Hank Sanchez and Robert Lavigne will assess the impact the biggest change to regulation in years has delivered. Wednesday, October 28, 2020 at 11:00 AM Pacific / 2:00 PM Eastern.
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Events | 10-14-20
Bates is a proud Gold sponsor of the 2020 NSCP National Conference, October 19-21, 2020. Bates Compliance Manging Director and NSCP Board member Linda Shirkey will be speaking on Day 1 of the conference.
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Events | 10-14-20
Bates Group expert and consultant Sheila Murphy will be appearing Friday, October 16, 2020 on the Insurance Industry CxO Roundtable webcast. Sponsored by In The House, a private network for General Counsel and other in-house attorneys.
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Events | 09-18-20
In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits. Jill Ehret (Director, Bates Compliance) will appear on the panel, moderated by Paul Tyrrell (Partner, Sidley Austin), with opening remarks by Bates CEO Jennifer Stout. October 5, 2020 at 1 p.m. Eastern, co-hosted by SIFMA and Bates Compliance.
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Events | 09-16-20
Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Stop by our virtual exhibit booth to connect with Bates leaders, download materials and enter our annual raffle.
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Events | 09-14-20
Join A. Christine Davis, Bates Managing Director of Forensic Accounting and PLI program co-chair, and Edward Longridge, Managing Director of Bates AML & Financial Crimes, at the PLI Pocket MBA 2020: Finance for Lawyers and Other Professionals CLE Webinar. The Pocket MBA program is designed to improve understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Sept. 21-22, 2020 via Live Webcast
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Bates News, Events, Bates Research, Compliance and Regulatory Alerts | 09-03-20
Labor Day is almost here, which means those lazy, remote days of summer are coming to a close. What did you miss when you powered down this summer? We have a roundup of all the important Bates news, events and alerts from July and August as well as a sneak peek of the next few months to help you head into Fall fully prepared.
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Events | 08-26-20
A. Christine Davis, Managing Director - Forensic Accounting and Economic Damages, will be presenting the program “Filing a Business Interruption Claim: Properly Calculating the Business Income Loss” on August 27, 2020. Presented by the Canadian Institute of Actuaries.
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