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Bates Upcoming This Week: SWIFS Spring Symposium and Spirits of Pace
Image © [Prostock-studio] /Adobe Stock

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.

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Bates Welcomes Our New Experts and Consultants

04-20-21

Bates Welcomes Our New Experts and Consultants

Bates Group welcomes our new experts and consultants (Pictured from L):

  • Ana Suárez - Chief Compliance Officer, BD and IA Compliance, AML and Risk, Policy & Procedures, Regulatory Filings
  • Lorraine Lee - Former Regulator, Statutory Disqualification, FINRA Eligibility Proceedings
  • Tany Durkee Urbach - Former State Securities Commissioner, Ponzi Scheme, Securities Fraud, IA and BD Regulatory Compliance

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Bates in the News

03-02-21

Bates in the News

UPDATE: Financial Advisor IQ reports on Feb 25 SIFMA Webinar on SEC Reg BI and Exams, featuring a quote from Bates Compliance Managing Director and panelist Linda Shirkey.

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Bates Welcomes Our New Experts and Consultants

01-28-21

Bates Welcomes Our New Experts and Consultants

Bates Group is proud to welcome our newest experts and consultants (clockwise from top L):

  • Andrew Auslander, CFA, FRM - Financial Risk Management, Bonds, Corporate Lending
  • David F. MacNair - AML, Fraud Prevention, FINRA Arbitrator
  • Annemarie McAvoy - Financial Crime Compliance, AML and Terrorist Financing, Internal Investigations
  • Samuel Turvey - Compliance, Regulatory Response, Arbitration

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Bates Compliance-SIFMA Webinar Highlighted by WealthManagement
Bates Compliance Director Jill Ehret

10-28-20

Bates Compliance-SIFMA Webinar Highlighted by WealthManagement

A recent article from WealthManagement.com highlights comments made at the Bates Compliance-SIFMA webinar on virtual branch office visits, held October 5, 2020. This webinar is available for on-demand viewing from SIFMA.and features Bates Compliance Director Jill Ehret.

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Important Takeaways from SIFMA-Bates Virtual Branch Office Compliance Visits Webinar

10-13-20

Important Takeaways from SIFMA-Bates Virtual Branch Office Compliance Visits Webinar

On Monday, October 5, 2020, nearly 700 Compliance, Supervision, Risk, Legal and Regulatory experts and professionals tuned in to a panel discussion covering virtual branch office inspections and the challenges facing regulators and industry supervision and compliance teams. The webinar, jointly organized by Bates Compliance and SIFMA, reviewed the current requirements and status of branch office inspections, recent regulatory relief, and compliance expectations for on-site inspection requirements going forward. Here are some important takeaways from this discussion.

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Announcing Our Newest Experts

09-24-20

Announcing Our Newest Experts

Bates Group is proud to welcome our newest experts and consultants: 

  • Gary Ferrari - AML, Financial Crimes, Global Compliance Risk Management
  • Barbara A. Halper, JD, MBA - BD-IA Compliance, Seniors and Vulnerable Investors, Compliance Testimony
  • Timothy McClendon, CIC, CWCA - Insurance, Workers’ Compensation, Risk Management
  • Edward Truax - Insurance and Annuities, 401K/Pension/Retirement, Elder Issues

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Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

08-20-20

Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this complimentary webinar examining new compliance concerns arising out of the COVID-19 pandemic, including Branch Audits, Selling Away and more. Thursday, August 20, 2020 at 2:00 p.m. Eastern.

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Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.