Events - 02-27-20
Visit Bates Compliance at the 2020 IAA Compliance Conference, March 5-6
Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March 5-6 in Washington, D.C. Hear Bates Compliance Managing Director Robert Lavigne on the panel “Vendor Due Diligence: One Approach Does Not Fit All.” Learn about different strategies for conducting due diligence, who is typically involved in the process, identifying vendor risks, differences in initial and ongoing processes, important contract provisions, supervision considerations when outsourcing, and SEC guidance on how an adviser should assess third-party service providers. The 2020 IAA Compliance conference will cover a wide range of topics, including preparing for new Form CRS; strategies for managing an SEC exam; data privacy; cybersecurity; technology; trading and best execution; ethics; and much more. Continuing Education Credit will be available.