Events | 02-25-21
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.
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?
- Linda Shirkey, Managing Director, Bates Compliance, Bates Group
- Alex Russell, Managing Director & Practice Leader, White Collar, Regulatory & Internal Investigations, Bates Group
- Robert E. Burks Jr., CCO, Brown Capital Management
- A. Valerie Mirko, Partner, Baker McKenzie LLP