CLE Credits approved in NY, and 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, Beverly Jo Slaughter of Wells Fargo, and our co-hosts from Bressler, Amery & Ross for this complimentary CLE Webinar.
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:
In this roundtable discussion, Bates Managing Director Linda Shirkey and Hank Sanchez, along with compliance professionals will be addressing business continuity plan implementation amid the COVID-19 pandemic, unanticipated issues, gaps, and shortcomings companies faced. Speakers will address changes companies can make to improve their BCP; migrating back to the office; and, what to do in the event they must pivot back to a remote workforce, among other pressing issues.
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.Contact Bates Group
Bates Group’s consulting and testifying experts have diverse backgrounds resulting in a wide variety of expertise. With all that diversity, they have one thing in common – they are all outstanding practitioners in their fields.Expert Search