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Events  |  03-03-22

Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4, 2022, in Washington, D.C. This year's in-person conference will provide investment advisers with the most current information available on the changing regulatory landscape.

Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C. Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C. Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

Visit our booth in the exhibit hall and connect with Bates leaders Jennifer Stout, Rory O'Connor, and Hank Sanchez (pictured, L-R) to hear about practical insights and best practices that can help you maintain a successful compliance program.

Join Bates at the 2022 IAA Compliance Conference, March 3-4, 2022 in Washington, D.C.

Hear Bates Compliance Managing Director Kurt Wachholz (pictured L) speak on the panel "Ethics for Advisers: Compliance with Fiduciary Standards - Part 2" on Friday, March 4 from 8-9 a.m. The panel will discuss the protection of material nonpublic information (MNPI) and prevention of insider trading, whistleblower policy issues and scenarios, and best practices for monitoring, testing, administering, and enforcing these policies. (CE credit available)

Conference Details and Registration

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.