Contact Bates Today

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.

Get My Solution Started

Bates Group Logo

We’re looking for talent! Interested in a career at Bates Group? Visit our Careers page.

Events  |  06-14-23

NYCLA Live CLE Webinar: How To Handle a Securities Regulatory Investigation - Wednesday, June 14, 2023

How you handle a securities regulatory investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. It is also important to understand your ethical obligations before, during, and after an investigation, as representation lines may become blurred. Register today for this upcoming CLE webinar from the New York County Lawyers Association (NYCLA) Securities & Exchanges Committee.

Our panel of experienced practitioners will discuss:

  • the various stages of a securities regulatory investigation
  • the initial contact
  • demand for documents
  • gathering and distilling data
  • on the record interviews (OTRs)
  • how to avoid full-blown enforcement actions
  • how to protect your client’s public CRD, and
  • ethical considerations to avoid conflicts of interest and rule violations

Date: June 14, 2023

Time: 12:30 p.m. ET

CLE credit: 1.5 NY Credits: 1 Skills; 0.5 Ethics; Transitional and Non-transitional; 1.5 NJ Credits: 1.5 General

Webinar Details and Registration


Program Chairs and Moderators:

Susan L. Harper, Esq., Managing Director, Bates Group LLC, Co-Chair, NYCLA’s Securities & Exchanges Committee and Benjamin F. Jackson, Esq.Associate, Cohen Milstein, Co-Chair, NYCLA’s Securities & Exchanges Committee