News – Events

Events, Compliance and Regulatory Alerts  |  04-28-20

This Week at Bates: Countdown to Form CRS for IAs Webinar

The countdown is on! Join our complimentary Form CRS for IAs webinar Thursday, April 30, 2020. Specifically designed for SEC-registered IAs, this webinar will help you tackle Form CRS with confidence. Presented by Bates Compliance.


Events  |  02-27-20

Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6

Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March 5-6  in Washington, D.C. and hear Bates Compliance Managing Director Robert Lavigne on the Vendor Due Diligence Panel.


Events  |  02-26-20

Reg BI Webinar March 4, 2020 from Bates Compliance and NICE Actimize

Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure Compliance” Wednesday, March 4, 2020, 11:00 AM EST. 1 Hour.

Now Available On Demand.


Events  |  02-20-20

“Understanding Reg BI” Webinar 02-27-20 from AI Insight and Bates Compliance - Video Now Available

David Birnbaum and Linda Shirkey from Bates Compliance join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rules ahead of the June 30 compliance date. 1 hour.


Events  |  02-06-20

Hank Sanchez to Speak at the Nashville Compliance Roundtable - Feb 13, 2020

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville, TN. Sponsored by TrustCore.


Events  |  02-05-20

Bates Managing Director Linda Shirkey To Facilitate Reg BI Compliance Workshop in Austin, TX

Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered broker-dealers, SEC-registered investment advisers, and dual registrants on Tuesday, February 11, 2020, from 2:30 – 5 p.m. at the UT McCombs School of Business’ Center for Enterprise and Policy Analytics in Austin, Texas.


Events  |  01-29-20

Meet and Hear from Bates AML Leaders at the 2020 SIFMA AML and Financial Crimes Conference

Bates AML and Financial Crimes Managing Director Edward Longridge will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020 in New York, NY. Bates Group is proud to be a returning sponsor and exhibitor at this year's event.


Events  |  01-10-20

Bob Lavigne to Speak at the SIFMA Regulation Best Interest Vendor Forum

Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020 in New York, NY.


Events  |  12-17-19

Bates Compliance at the FINRA 2019 Regulation Best Interest Conference

Meet Bates Compliance Leaders Bob Lavigne and Jill Ehret at the FINRA 2019 Regulation Best Interest Conference, December 18, 2019 in Washington, D.C.


Bates News, Events  |  11-11-19

This Week at Bates

Bates Group Leaders and Experts will be appearing at several industry events around the country this week.


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