Recorded Programs

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Recorded Programs

Developing Your 2021 Plan to Address the SEC’s Top Compliance Findings

Recorded: January 28, 2021

Presented by Bates Compliance

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. These observations are packed with items that adviser firms could turn into a very lengthy checklist, but there is no need to get lost in the details. In this session, you will learn how to strategically and tactically manage and streamline this important compliance information, which the SEC will be scrutinizing in 2021.

On this program, we discuss:

  • Developing your compliance roadmap for the year
  • Setting implementation priorities and timeline
  • Engaging senior management in the process
  • Addressing any gaps
  • SEC Exam Priorities – What to expect

Watch the on-demand replay of this program

Recorded Programs

NYCLA CLE Webinar: “Who’s Zoomin’ Who?” Virtual FINRA Hearings, Mediations and Developments in the Real World

Recorded: Wednesday, December 02, 2020

Presented by NYCLA - Member: $35 | Non-member: $50

CLE - 2 NY Credits; 2 Skills; 2 NJ Credits: 2 General

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.

Panelists (pictured above, L-R from top):

  • Susan L. HarperManaging Director, Bates Group, Co-Chair NYCLA Securities & Exchanges Committee (moderator)
  • Richard BerryExecutive Vice President and Director of FINRA Dispute Resolution Services
  • Paula ShaffnerPartner and Chair, Securities Litigation and Enforcement, Stradley Ronon
  • Carlos Provencio, Associate General Counsel, Interactive Brokers
  • Ellen SlippMediator, Ellen Slipp Mediation Services
  • Ralph BlascovichManaging Director and Expert Witness, Bates Group

Watch the on-demand replay of this program from NYCLA

Recorded Programs

REG BI - 120 Days On

Recorded: Wednesday, October 28, 2020

Duration: 45 Minutes

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.

Reg BI's implementation occurred on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts will assess the impact on the industry thus far.

Join our webinar to hear expert opinions from our panel of regulatory specialists:

  • Donald McElligott, VP Compliance, Global Relay
  • Hank Sanchez, Managing Director, Bates Compliance
  • Robert Lavigne, Managing Director, Bates Compliance

You will learn:

  • What has happened since REG BI came into effect
  • How it has impacted the technology side of business
  • Common concerns raised by the SEC

Watch the on-demand replay of  "REG BI - 120 Days On" (registration required).

Recorded Programs

Filing a Business Interruption Claim: Properly Calculating the Business Income Loss

Recorded: October 15, 2020
Presented by: Bates Group

This program has been approved for 1.4 hours of CLE credit in ME, giving reciprocity credit to NJ and FL. NY accreditation is available through the approved jurisdiction rule. CA credit pending.

Join Bates for a CLE webinar, “Filing a Business Interruption Claim: Properly Calculating the Business Income Loss,” October 15, 2020 at 12 p.m. Eastern. Speakers A. Christine Davis (Managing Director, Forensic Accounting and Economic Damages) and Mark Filler (Bates Affiliate Expert) will discuss the timeline of a typical business interruption claim, review methods of loss calculation, and look at a real-life calculation example. The program will be moderated by Andrew Daniel (Director, Securities Litigation).

Learning Objectives include:

  • Define certain policy terms
  • Learn the basics of a proper calculation of “business income” and the two approaches to loss calculation
  • Identify relevant supporting documents
Watch the On-Demand Replay of "Filing a Business Interruption Claim: Properly Calculating the Business Income Loss."
Recorded Programs

SIFMA Webinar Series: Virtual Branch Office Compliance Visits

Recorded: October 5, 2020
Presented by: SIFMA and Bates Compliance

1.5 CLE credits available

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. Jill Ehret (Director, Bates Compliance) will appear on the panel, moderated by Paul Tyrrell (Partner, Sidley Austin), with opening remarks by Bates CEO Jennifer Stout. Topics include the status of virtual branch office inspection programs; rulemaking updates and FINRA Rule 3110 requirements for branch inspection programs; current remote branch office inspection challenges; and best practices when implementing a remote branch inspection program.

Featured Speakers:

  • Jennifer Stout - CEO, Bates Group LLC - Opening Remarks
  • Paul M. Tyrrell - Partner, Sidley Austin LLP - Moderator
  • Joseph J. Sheirer - Vice President, Member Supervision Examination Program, FINRA
  • Kevin Zambrowicz - Managing Director and Associate General Counsel, Office of General Counsel, SIFMA
  • Jill Ehret - Director, Bates Compliance - Bates Group LLC
  • Lou Moschetta - Senior Vice President and Deputy Director of Compliance, Wells Fargo Advisors
  • Joseph Neary - Chief Risk Officer, Cetera Financial Group
  • John O’Neill - Executive Vice President and Chief Compliance Officer, LPL Financial LLC
Watch the on-demand replay of "Virtual Branch Office Compliance Visits."
Recorded Programs


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."
Recorded Programs


Recorded: August 13, 2020 at 12:30 p.m. Eastern
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
Watch the on-demand replay of "Capital Market Uncertainty in the Time of COVID-19 and the Potential Legal and Regulatory Impact."


Recorded: July 30, 2020 at 12:00 p.m. Eastern (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."



Recorded: July 15, 2020 at 12:00 p.m. Eastern (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."



Recorded: July 9, 2020  at 2:00 p.m. Eastern (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."



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."



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."



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.'”



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."



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."



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."



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."



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."



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."



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

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