Events  |  02-25-21

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

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

Bates Compliance is a proud Supporting Sponsor of this year's IAA Compliance Conference. The virtual conference will provide investment advisers with the most current information available on the changing regulatory landscape.

Visit our virtual exhibit booth to connect with Bates practice leaders who have practical insights and knowledge of best practices that can help you maintain a successful compliance program.

Hear Bates Managing Directors Alex Russell and Linda Shirkey speak on the 11 a.m. panel on Friday, March 5th, "GameStop, Reddit, What’s Next? Oh My!" 

The panel will discuss the recent online-fueled frenzy in GameStop and AMC Entertainment Holding stocks, including:

  • What happened exactly?
  • What are the after effects?
  • What are regulators saying?
  • What should investment advisors do to prepare and protect their firm and clients going forward? 
IAA 2021 Virtual Investment Adviser Compliance Conference, March 3-5, 2021

Speakers: 

Click Here for More Information and to Register

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