Event Date: 05-12-25
Join Bates Group at the 2025 SIFMA Anti-Money Laundering and Financial Crimes Conference in Washington, D.C., May 12–14. Meet our AML and compliance experts as they engage on key topics like regulatory developments, AI, sanctions, digital assets, and emerging fraud trends.
Event Date: 05-13-25
Join Bates Group at the 2025 FINRA Annual Conference, May 13–15 in Washington, D.C. Connect with our experts on key compliance, regulatory, and litigation issues shaping the financial services industry.
Event Date: 05-13-25
Join Bates Group’s Brandi Reynolds and fellow industry leaders on May 13 for a live webinar exploring regulatory shifts impacting digital assets and investment advisers.
Event Date: 05-14-25
Join Brandi Reynolds of Bates Group at the ACFCS Crypto and Web3 Compliance Symposium 2025 on May 14. Explore AI, fraud prevention, and crypto compliance in her featured panel: Crypto Scams and Consumer Safeguards. Register now for expert insights and actionable strategies.
Event Date: 05-15-25
Meet Bates Group Senior Managing Director for Regulatory & Litigation Alex Russellat the Securities Enforcement Forum West 2025 on May 15 in Beverly Hills.
08-15-23
Join us for an informative live webinar where we will delve into the crucial aspects of managing asset custody, including regulatory requirements, best practices, risk management, and key considerations for businesses. August 15, 2023 @ 2PM ET.
08-02-23
Join this panel of industry experts as they discuss how firms can deploy adverse media effectively to inform and identify risk. Hosted by ComplyAdvantage and featuring Bates Managing Director Brandi Reynolds.
07-26-23
Join the MSBA and experts from Bates Group, McClinchey, and Orrick as they discuss the Money Transmission Model Act from an implementation perspective. July 19th and 26th, 2023, at 2 p.m. ET.
07-19-23
Join experts from Bates Group, Gusto, TRM Labs, and FirstBank for this informative webinar on compliance and risk management.
06-22-23
Bates is a proud sponsor and exhibitor at the Carolinas RIA Summit, June 22, 2023 in Charlotte, NC. Presented by Portfolio Summits.
06-20-23
Join experts from Bates Group, Circle, Cross River, and Veritex Community Bank for a new webinar "Managing Risk: What Your Banks Want You to Know." June 20, 2023 from 12 - 1 p.m. ET.
06-14-23
How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join this upcoming webinar from NYCLA for a discussion of best practices, common pitfalls to avoid, ethical obligations, and FINRA investigation priorities for 2023.
06-14-23
Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis, MO.
06-06-23
Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New York City
05-24-23
Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by the American Bankers Association.
05-24-23
Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto Conference, May 24, 2023.
05-16-23
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in Washington, D.C.
05-10-23
Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division Staff Conference, Wednesday, May 10, 2023 in San Diego, CA.
05-07-23
Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our colleague Ira D. Hammerman will be featured on the panel “A look at the SEC’s and FINRA’s 2023 priorities and guidance for IBDs and RIAs on how to navigate regulatory scrutiny.” Bates is a proud sponsor of the conference.
05-03-23
Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale, FL.
05-02-23
Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg, FL.