Bates News,Events - 08-20-20

Webinar Today, August 20, 2020: Covid-19 Leads to Novel Compliance Concerns

Topic - Covid-19 Leads to Novel Compliance Concerns: Branch Audits, Selling Away and Much More

Date/Time - Aug 20, 2020, 2:00 p.m. Eastern / 11:00 a.m. Pacific

(L-R) Lilian Morvay, Jill Ehret, Paul Horn


Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) will be presenting a complimentary webinar titled "Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away" Thursday, August 20, 2020 at 2 p.m. Eastern.

She will be joined on the panel by Bates Compliance Director Jill Ehret, Bates Cybersecurity Expert Paul Horn (Founder/CEO, H2Cyber), moderator Dan Newman, Esq. (Partner, Nelson Mullins), Scott Sherman, Esq. (Partner, Nelson Mullins), and Melissa Tarentino (Vice President of Legal Affairs, Ladenburg Thalmann Financial Services).

Our panel of experts will explore:

  • Performing FINRA Mandated Branch Supervision and Audit Responsibilities in a Virtual World;
  • Tips & Best Practices for Reviewing OBAs and Identifying Potential Selling Away Issues in the Midst of a Pandemic;
  • Legal: Recent Actions Involving Branch Audits, Supervision and Selling Away;
  • Incorporating Virtual Supervision Into Your Newly Established Reg BI Procedures;
  • Maintaining Cyber Vigilance in the World of Virtual Supervision and Audits.

Presented by IBDC



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