Bates Group Attends ICI’s Inaugural Compliance, Risk, and Legal Conference

Bates Group Managing Director Jennifer Selliers, CAMS, CCEP, CSCP, will attend the Investment Company Institute's first Compliance, Risk, and Legal (CRL) Conference in Nashville this month.

The conference is new this year. ICI built it on the foundation of its longstanding Securities Law Developments Conference and expanded the scope to reflect how compliance, risk, and legal functions now operate together rather than in parallel.

On the Agenda

ICI has built the agenda around practical execution rather than rule summaries. Program areas include:

• The SEC's rulemaking agenda and current regulatory priorities
• Implementing new requirements and strengthening existing compliance programs
• Digital assets, private investments, and artificial intelligence and cybersecurity risk
• Board engagement, cross-functional collaboration, and professional effectiveness
• Core compliance program execution, including documentation, testing, monitoring, and oversight

For firms outside the registered fund complex, that last category matters most. Documentation, testing, and monitoring are the areas where examination findings concentrate, and they are the areas where a program can look complete on paper and still fail under examination. The distance between having a policy and being able to demonstrate that you enforce it, test it, and remediate against it is where most firms lose ground.

About Jennifer Selliers

Jennifer Selliers specializes in operationalizing compliance for financial institutions. Her background spans boutique fixed income firms, hybrid and dual registrants, private and other asset managers, and emerging firms launching their first funds. Prior to Bates Group, Jennifer served as Director of Internal Compliance for the State of Tennessee Department of Treasury, where she led compliance oversight for more than $60 billion in public assets and modernized pre-trade and post-trade compliance programs supporting major public retirement plans.

Her practice areas include:

• Outsourced CCO Services. Executive-level leadership and hands-on compliance support for ongoing adherence to SEC, state, and other regulatory requirements.
• Fund and Adviser Structuring. Registration strategy and the development of tailored compliance programs.
• Compliance Frameworks. Written policies and procedures, risk control matrices, and scalable compliance infrastructure.
• Risk and Compliance Systems. Trade surveillance, marketing review, risk assessment, incident management, and document retention platform implementations.

Connecting in Nashville

If your team will be at the CRL Conference, Jennifer welcomes the chance to meet. Conversations about compliance program design, annual review scope, outsourced CCO arrangements, or examination readiness are all worth the calendar time.

Bates Group supports broker-dealers, RIAs and fund advisers on compliance program design, annual reviews, outsourced CCO services, and examination readiness. When regulatory expectations shift, you need a partner who has already mapped the practical implications for your firm. Contact Bates Group today to learn more.