Webinars

As financial firms are starting to face the first round of enforcement actions from regulators under Regulation Best Interest (Reg BI), the “grace period” that followed the rule’s implementation data has come to an end. The SEC has announced that Reg BI will be a high priority for Examinations and Enforcement in 2023, and firms need to have the right people, processes, and technology in place in order to remain compliant. Watch our on-demand webinar for what you need to know to stay ahead.

Join Bates Group and TRM Labs for the webinar "Hot Topics in Crypto Compliance," as we look at today's key issues and challenges for compliance teams in the digital asset space. Featuring Brandi L Reynolds, Managing Director, MSB and CryptoCurrency Practice Leader, along with compliance experts from FTX, Clifford Chance and TRM.

Join Bates Group consultants Learon Bird and Leonore Ralston for an informative webinar all about working with Consultants and Testifying Experts on Wage and Hour Disputes. Sponsored by the Oregon State Bar Labor and Employment Section.

Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related litigation, regulatory and enforcement areas to keep an eye on in 2022. Bates Group Managing Director Alex Russell will be joining the panel to discuss Regulatory issues and updates.

The cryptocurrency legal and compliance landscape is constantly changing, and there’s more scrutiny than ever before on the industry. Please join leading experts from McDermott Will & Emery and Bates Group for a discussion on the current virtual currency environment and what you need to know for your business in 2022.

In this complimentary webinar, Bates Compliance leaders Linda Shirkey and Rhonda Davis examine key provisions of the new SEC changes to rules and forms governing advertising and cash solicitations under the Investment Advisers Act of 1940.

Join Bates Insurance Experts for an informative webinar discussing cyber insurance and vanishing premium litigation, among other hot topics.

Join Bates Group for this new, complimentary 1-hour webinar examining the effects that remote working conditions during the pandemic had on supervisory activity, disciplinary actions and terminations — what we are seeing today and what to expect going forward.

AML continues to be a top target of U.S regulators with millions of dollars in fines levied each year. Financial institutions and AML professionals are under increasing pressure to maximize the efficiencies of their organizations while addressing AML processes and procedures.

It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how to prepare and respond to the SEC during all four key examinations phases.

The SEC Division of Examinations (formerly OCIE) issued a recent Risk Alert, along with remarks by Director Peter Driscoll, identifying common deficiencies from recent examinations related to the obligations on investment advisers required by the Advisers Act.

The New York Country Lawyers Association’s Securities & Exchange Committee presents distinguished CLE panel members sharing their tried and true insights and guidance on managing FINRA virtual hearings and mediations. Hear about current and future virtual FINRA hearing developments to prepare for 2021.

The COVID-19 pandemic has brought with it an increase in scams directed at seniors and other vulnerable investors. Regulators, as well as securities firms, have had to intensify their efforts to create and implement better protections for these investors.

In 2019, the US SEC (Securities and Exchange Commission) passed the Regulation Best Interest (REG BI) rule that bound broker-dealers by law to put the best interest of their clients first. Join our webinar to learn what has happened since REG BI came into effect, how it has impacted the technology side of business, and common concerns raised by the SEC.

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits during our webinar.

Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) presents this complimentary webinar.