Recorded Programs

Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away

Recorded: August 20, 2020
Presented by: IBDC

Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) presents this complimentary webinar. She is 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 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.
Click Here to request access to the on-demand replay of "Novel Coronavirus Leads to Novel Compliance Concerns: Branch Audits and Selling Away."
 

CAPITAL MARKET UNCERTAINTY IN THE TIME OF COVID-19 AND THE POTENTIAL LEGAL AND REGULATORY IMPACT

Recorded: August 13, 2020 (1 hr.)
Presented by: Bates Group

CLE credit is approved in MO and is pending in CA, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule.

The first half of 2020 has been a very challenging time for the capital markets. With a global pandemic arising – the likes of which have not been seen in more than 100 years – U.S. economic activity has largely collapsed, and unemployment has risen to levels not seen since the Great Depression. Join us in this CLE Webinar as we look at 2020 in the context of past bear markets, whether a comparison to the 1918 influenza pandemic is relevant to today, and which sectors and industries have been hardest hit by the economic disruption. The webinar will also explore the impact of COVID-19 on potential capital market-related litigation and regulatory and enforcement areas to keep an eye on.

Program Speakers:

  • Jack McGuire, Managing Director/Deputy General Counsel, Director Of Litigation, Oppenheimer & Co. (Co-moderator)
  • Esther Cho, Shareholder and Chair of Executive Committee, Keesal, Young & Logan (Co-moderator)
  • Greg Kyle, Director and Expert, Bates Group
Click Here to watch the on-demand replay of "Capital Market Uncertainty in the Time of COVID-19 and the Potential Legal and Regulatory Impact."
 

ANTI-MONEY LAUNDERING AND FRAUD RISKS IN THE AGE OF COVID-19

Recorded: July 30, 2020 (1 hr.)
Presented by: Bates Group and Orrick

Orrick, Herrington & Sutcliffe LLP is an accredited MCLE provider in the State of New York. This non-transitional continuing legal education course has been approved in accordance with the requirements of the Continuing Legal Education Board for a maximum of 1.0 credit hours, of which 1.0 credit hours can be applied toward the areas of professional practice requirement.

The COVID-19 pandemic has created new compliance and regulatory risks for financial institutions. New avenues for money laundering have sprung up, presenting challenges for financial institutions facing pandemic-related resource constraints. Join Edward Longridge (Managing Director, Bates AML and Financial Crimes), Daniel Nathan, Jeanine McGuinness and Matthew Moses (Partners, Orrick Herrington & Sutcliffe LLP), and Bates AML Compliance Expert Gary Ferrari, for this CLE webinar which will examine how financial institutions can adapt their AML programs to the new financial environment and regulatory expectations.

Among other things, we will discuss:

  • Money laundering risks created by the current business environment
  • Regulatory pronouncements and expectations related to the pandemic
  • How financial institutions should assess the adequacy of their AML programs to operate effectively in this environment
  • How financial institutions should modify programs in light of the assessment
Click here to watch the on-demand replay of "Anti-Money Laundering and Fraud Risks In the Age of COVID-19."
 

BATES COMPLIANCE ROUNDTABLE: ASSESSING, FINE-TUNING AND IMPROVING YOUR BUSINESS CONTINUITY PLAN

Recorded: July 15, 2020 (1 hr.)
Presented by: Bates Compliance

We invite you to join this roundtable discussion, featuring Bates Managing Directors Linda Shirkey and Hank Sanchez, along with Sandra Grannum, Partner, Faegre Drinker Biddle & Reath, LLP and Rob Guldner, CCO, Advisor Group RIA. 

Our industry experts will address Business Continuity Plan (BCP) design and implementation, including the unanticipated issues, gaps, and shortcomings that companies may have endured, as a result of the COVID-19 pandemic.

We will also provide suggestions for certain precautionary measures that companies can consider, to improve their current BCP plans and help ensure the safety and health of their employees who return to in-office jobs, as well as, how to be best prepared for future significant business disruptions and a COVID resurgence.

Click here to watch the on-demand replay of "Assessing, Fine-Tuning and Improving Your Business Continuity Plan."
 

REGULATORY EXAMS AND INVESTIGATIONS IN THE AGE OF COVID-19

Recorded: July 9, 2020 (1 hr.)
Presented by: Bates Group and Eversheds Sutherland

CLE credit is approved for this webcast in CA, GA, MO, NY, NE and TX, and is pending in IL and VA. NY accreditation is available through the approved jurisdiction rule. An individual attorney application may be required for attorneys licensed outside these states. Please check with your respective state bar(s) for confirmation.

Please join Eversheds Sutherland attorneys Brian Rubin and Sarah Sallis and Alex Russell, Bates Group Managing Director, White Collar, Regulatory and Internal Investigations, for a webcast to discuss FINRA’s process of exams and investigations and enforcement topics in the age of COVID-19. Specifically, speakers will cover:

  • Process of exams and investigations
  • Overview of the Eversheds Sutherland study on FINRA sanctions
  • Private placements including fraud regarding COVID-19 scams
  • Insider trading, including trading on information related to the pandemic
  • Leveraged and volatility-linked products including misrepresentations, omissions and suitability related to the economic impact of the pandemic
  • Variable annuities supervision and exchanges
Click here to watch the on-demand replay of "Regulatory Exams and Investigations in the age of COVID-19."

 

BEST PRACTICES IN DEFENDING MARGIN-RELATED CASES

Recorded: June 25, 2020 (1 hr.)
Presented by: Bates Group and Bressler, Amery & Ross, P.C.

CLE Credit approved in NY, giving reciprocity credit to NJ, CA and FL.

With the volatility in the market during the recent months, and the significant growth of securities backed lending by brokerage firms, this presentation addresses best practices in investigating and defending margin cases. Join Bates Group margin expert Glen Garofalo along with Director Andrew Daniel and our co-hosts from Bressler, Amery & Ross for this complimentary CLE Webinar.

Click Here to watch the on-demand playback of "Best Practices in Defending Margin-Related Cases."

 

BULL OR BEAR: FINANCIAL MARKETS & COVID-19

Recorded: June 17, 2020 (1 hr.)
Presented by: Bressler, Amery & Ross, P.C.

CLE credit approved in NY, giving reciprocity credit to NJ, CA, and FL. CLE credits pending in AL.

This webinar, featuring Bates Group Director and expert Greg Kyle, will discuss the coronavirus pandemic and its impact on the financial markets. We will compare COVID-19’s effect on the market through a historical analysis of prior market disruptions, review the current fundamentals of the market and the economy as a whole, and debate which industries have been most heavily impacted and those poised to rebound.

Click Here to watch the on-demand playback of "Bull or Bear: Financial Markets & COVID-19."

 

EMPLOYMENT CLAIMS AND COMMERCIAL DAMAGES – WHAT TO EXPECT IN THE “NEW NORMAL”

Recorded: June 4, 2020 (1 hr.)
Presented by: Bates Group

CLE credit approved in MO and CA, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule. 

Join moderators Sheila Murphy (Consultant, Bates Group) and A. Christine Davis (Managing Director of Forensic Accounting and damages expert, Bates Group) along with three accomplished employment lawyers, Maureen Bogue (Founder, Pacific Employment Law), Jeanine Conley Daves (Shareholder, Littler Mendelson P.C.), and Elizabeth Thompson (Counsel, Kilpatrick Townsend & Stockton LLP), as they explore and address current and potential future wrongful termination and other employment claims, including wage & hour claims and damage assessments arising from the pandemic. 1-hour CLE webinar.

Click Here to watch the on-demand playback of "Employment Claims and Potential Economic Damages – What to Expect in the 'New Normal.'”

 

REGULATORY AND LITIGATION ISSUES IN A POST COVID-19 WORLD: A LOOK INTO THE CRYSTAL BALL

Recorded: May 28, 2020 (1 hr.)
Presented by: Bates Group

CLE credit approved in MO and CA, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule. 

In this one-hour CLE program, Jeff Kalinowski, partner at Bryan Cave, joins Bates experts Joe Thomas and Clay Grumke in a discussion of potential regulatory investigations and litigation on the horizon, including what firms should expect during this COVID-19 period and beyond.

Click Here to watch the on-demand playback of "Regulatory and Litigation Issues in a Post-COVID-19 World: A Look Into the Crystal Ball."

 

ADDRESSING SENIOR AND VULNERABLE INVESTOR PROTECTION AND POTENTIAL LITIGATION CLAIMS IN THE COVID-19 WORLD

Recorded: May 14, 2020 (1 hr.)
Presented by: Bates Group

CLE credit approved in MO and CA, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule. 

Join nationally recognized senior issues expert witness and Bates Group director Joseph “Joe” Thomas, Ron Long (Head of Aging Client Services, Wells Fargo), along with senior issues expert Amy Bard (Bates), Marin Gibson (SIFMA), and Melissa Acayan (Raymond James) for a conversation about what vulnerable and senior financial investor issues and claims may look like going forward, the effectiveness of current protections, the best practices to recognize and address senior financial exploitation in the current environment, cases and regulatory updates, and resources to assist firms in preventing exploitation. 

Click here to watch the on-demand playback of "Addressing Senior and Vulnerable Investor Protection and Potential Litigation Claims in the COVID-19 World."

 

PRESERVING AND GROWING YOUR IBD/RIA BUSINESS IN THE TIME OF COVID-19

Recorded: May 12, 2020 (1 hr.)
Presented by: Bates Group and IBDC

Join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Group Consultant, along with panelists David Baugh, Partner - Kaufman Dolowich & Voluck; Brian Nally, Partner - Reminger; Brian Cavanaugh, Director Corporate Risk & Brokering Financial Institutions - Willis, Towers Watson, Robert “Bob” Reidy, Alternative Products Consulting and Testifying Expert - Bates Group; and Judith Knudsen, VP and Deputy General Counsel - Avantax Wealth Management; as they discuss the effects that Covid-19 may have on claims against BDs/RIAs, insurance concerns and considerations and opportunities to expand your businesses.

Click here to watch the on-demand playback of "Preserving and Growing your IBD/RIA Business in the Time of COVID-19."

 

COUNTDOWN TO FORM CRS FOR INVESTMENT ADVISERS

Recorded: April 30, 2020 (1 hr.)
Presented by: Bates Compliance

The countdown is on! Linda Shirkey, Rory O’Connor and Jennifer Sullivan of Bates Compliance provide guidance for IAs on how to tackle Form CRS in this 1-hour webinar.

Click here to watch the on-demand playback of "Countdown to Form CRS for IAs."

 

UNDERSTANDING REGULATION BEST INTEREST

Recorded: March 12, 2020 (1 hr.)
Presented by: Global Relay

Bates Compliance Practice Leader Robert “Bob” Lavigne joins Donald McElligott of Global Relay in this virtual forum discussing the history and impact of the Reg BI rule package, new obligations, regulator expectations, Reg BI resources and more.

Click here to watch the on-demand playback of "Understanding Reg BI."

 

COUNTDOWN TO REG BI: STRATEGIES TO ENSURE COMPLIANCE

Recorded: March 4, 2020 (1 hr.)
Presented by: Bates Compliance and NICE Actimize

Bates Compliance Practice Leader Robert “Bob” Lavigne and Dave Ackerman of NICE Actimize discusses your Reg BI obligations, new tools, technology, and process changes to help your firm comply with Regulation Best Interest.

Click here to watch the on-demand playback of "Countdown to Reg BI: Strategies to Ensure Compliance."

 

UNDERSTANDING REG BI

Recorded: February 27, 2020 (1 hr.)
Presented by: Bates Compliance and AI Insights

In this one-hour webinar, Bates Compliance Managing Directors David Birnbaum and Linda Shirkey join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rule, regulator expectations, product rationalization, and Form CRS. Learn how you can prepare for the June 30 compliance date.

Click here to watch the on-demand playback of "Understanding Reg BI."

 

Attorneys requesting CLE credit in states other than those listed above may be required to submit an individual attorney application. Please check the rules for out-of-state credit for your jurisdiction. For any other questions regarding CLE accreditation or to request an attorney affirmation form, please contact John Rice, CLE Coordinator at jrice@batesgroup.com.

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