Managing Director Chris Riper to Speak at FMA’s 2024 Securities Compliance Seminar April 17-19

Join Bates Group in Chicago at the Financial Markets Association's (FMA) 2024 Securities Compliance Seminar, April 17-19, to discuss key challenges and regulatory issues facing the financial services industry. This event features interactive panels covering current compliance topics, new rules or interpretations, and regulatory initiatives for financial institutions and their affiliated broker-dealers.

Bates Group Managing Director Christopher Riper, CFE, CAMS, will be speaking on the “Continuing Challenges with Off-Channel Communications” panel Thursday, April 18 from 1:15 to 2:15 pm. The speakers will discuss industry responses to off-channel communication regulatory expectations as well as guidance and best practices.

Seminar Details and Registration

Bates Group is a financial services consulting firm that provides expert advice and guidance to our partners in compliance, litigation, and regulatory matters. Our subject matter experts are highly regarded in their respective fields. For over 40 years, Bates’ exposure to industry challenges, litigation matters, and enforcement actions has given us unique insight into matters that allow us to benefit all our partners.

 

Learn how Bates Group can support your firm with securities litigation support, regulatory consulting, and data analytics. Contact us today.