News – Events

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.


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.


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!


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.


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.


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.


Events  |  04-05-21

Bates Compliance Webinar: Getting Ahead of an SEC Examination

It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how to prepare and respond to the SEC during all four key examinations phases.


Events  |  02-25-21

IAA 2021 Virtual Investment Adviser Compliance Conference, March 3-5, 2021

Bates Compliance is a proud Supporting Sponsor of the 2021 IAA Virtual Compliance Conference. Alex Russell (Managing Director, White Collar, Regulatory and Internal Investigations) and Linda Shirkey (Managing Director, Bates Compliance) will be speaking on the GameStop panel at 11 a.m. on Friday, March 5th.


Events  |  02-24-21

Webinar - SIFMA Reg BI Developments: Family Office Relief and New SEC Exam Priorities

Join SIFMA and the SIFMA C&L Society on February 25, 2021 from 1:00-2:20pm ET for a two-part webinar on current developments on family offices and the SEC’s latest exam priorities. Bates Compliance Managing Director Linda Shirkey will be speaking. Sponsored by Bates Group.


Events  |  02-12-21

Connect with Bates at the 2021 SIFMA AML and Financial Crimes Conference to Build and Improve Your FC Program

Bates Group is a proud returning sponsor and virtual exhibitor at the 2021 SIFMA AML and Financial Crimes Conference. Connect with the Bates team at our Virtual Booth to build and improve your AML and FC program in 2021.


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