Events | 09-30-21
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
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 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 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
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
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
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
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 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
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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