News – Events

Events  |  06-10-20

CLE Webinar: Reg BI for Litigators - The New Game Changer

Join Bates Group Director and nationally recognized expert Bruce Cramer when he presents “Reg BI for Litigators.” Topics will include an overview of the SEC’s Reg BI and the Customer Relationship Summary (“Form CRS”), duties, conflict of interest, disclosure, and care obligations, Reg BI’s impact on FINRA’s retail suitability rule, potential claims, discovery, and more.


Events  |  05-29-20

CLE Webinar: Employment Claims and Potential Economic Damages – What to Expect in the “New Normal”

Join Bates Group moderator Sheila Murphy and Managing Director A. Christine Davis, along with three accomplished employment lawyers as they explore and address employment-related litigation issues, including wage and hour and potential economic damages claims, stemming from COVID-19.


Events  |  05-08-20

CLE Webinar: Senior and Vulnerable Investor Protection and Potential Claims in the COVID-19 World

Join our panel of nationally recognized leaders for a conversation about what vulnerable and senior financial investor issues and litigation claims may look like going forward, recent cases and regulatory updates, and resources to assist firms in preventing exploitation. 

May 14, 2020 1:00 PM Eastern/10:00 AM Pacific


Events  |  05-08-20

Webinar: Preserving and Growing your IBD/RIA Business in the Time of COVID-19

Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists including Bates Alternative Products Testifying Expert Robert “Bob” Reidy, as they discuss the effects that Covid-19 may have on claims against BDs/RIAs, insurance concerns and considerations and opportunities to expand your businesses. Hosted by Bates Group and IBDC.

May 12, 2020 3:00 pm Eastern/12:00 pm Pacific


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.


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