News & Events – Events

Join InvestorCOM and Bates Group for a live webinar dissecting the Best Interest regulatory landscape and discussing actionable strategies to mitigate risks.

Bates Group is a proud returning sponsor and virtual exhibitor at the 2021 SIFMA AML and Financial Crimes Conference. Connect with the Bates team at our Virtual Booth to build and improve your AML and FC program in 2021.

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 17th Annual Edith I. Spivack Symposium “Ready to Lead: Advancing Women Leaders During the Pandemic and Beyond“ and the Kay Crawford Murray Memorial Award program honoring an outstanding attorney who recognizes the value of diversity and mentoring in the legal profession. Day 2 will be held on Tuesday, January 26, 2021 from 12:15 p.m. – 5:30 p.m. Registration is open.

The SEC Division of Examinations 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. Join this new webinar from Bates Compliance to learn how to strategically and tactically manage and streamline this important compliance information, which the SEC will be scrutinizing in 2021.

The Investment Adviser Association (IAA) will be holding their 2020 Compliance Workshops on Wednesday and Thursday, December 2-3, 2020. This virtual event features breakouts with speakers from nine SEC regional offices across the country sharing current examination priorities for investment advisers, in addition to general sessions covering other important matters for the advisory community, such as managing conflicts of interest. Bates Compliance Managing Director Linda Shirkey will be speaking on the Day 2 General Session "Fiduciary Obligations for Identifying, Managing, and Disclosing Conflicts of Interest."

Join the New York Country Lawyers Association’s Securities & Exchange Committee on Wednesday, December 2, 2020 at 2 pm, when distinguished CLE panel members share 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.

ABA CLE Event: Explore the dangers for seniors & vulnerable investors in the COVID19 era, and the response of regulators. Panel includes nationally-recognized senior issues expert witness & Bates director Joe Thomas, Bates senior issues expert Amy Bard, and Richard Szuch of the New Jersey Bureau of Securities Enforcement Division.

Reg BI came into effect on June 30, 2020 and 120 days on, Global Relay and Bates Compliance experts Donald McElligott, Hank Sanchez and Robert Lavigne will assess the impact the biggest change to regulation in years has delivered. Wednesday, October 28, 2020 at 11:00 AM Pacific / 2:00 PM Eastern.

Bates is a proud Gold sponsor of the 2020 NSCP National Conference, October 19-21, 2020. Bates Compliance Manging Director and NSCP Board member Linda Shirkey will be speaking on Day 1 of the conference.

Bates Group expert and consultant Sheila Murphy will be appearing Friday, October 16, 2020 on the Insurance Industry CxO Roundtable webcast. Sponsored by In The House, a private network for General Counsel and other in-house attorneys.

In this complimentary CLE webinar, hear directly from compliance and risk leaders, including FINRA, on the latest updates concerning virtual branch office compliance visits. 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. October 5, 2020 at 1 p.m. Eastern, co-hosted by SIFMA and Bates Compliance.

Bates is a proud Silver sponsor of this year's SIFMA C&L Virtual Forum online event, September 23-24, 2020. Stop by our virtual exhibit booth to connect with Bates leaders, download materials and enter our annual raffle.

Join A. Christine Davis, Bates Managing Director of Forensic Accounting and PLI program co-chair, and Edward Longridge, Managing Director of Bates AML & Financial Crimes, at the  PLI Pocket MBA 2020: Finance for Lawyers and Other Professionals CLE Webinar. The Pocket MBA program is designed to improve understanding of business strategies, accounting fundamentals and vocabulary used by management, investors, auditors and bankers. Sept. 21-22, 2020 via Live Webcast

Labor Day is almost here, which means those lazy, remote days of summer are coming to a close. What did you miss when you powered down this summer? We have a roundup of all the important Bates news, events and alerts from July and August as well as a sneak peek of the next few months to help you head into Fall fully prepared. 

A. Christine Davis, Managing Director - Forensic Accounting and Economic Damages, will be presenting the program “Filing a Business Interruption Claim: Properly Calculating the Business Income Loss” on August 27, 2020. Presented by the Canadian Institute of Actuaries.

Join Bates Expert and IBDC Founder/CEO Lilian Morvay, along with Bates Compliance Director Jill Ehret, Cybersecurity Expert Paul Horn and other panelists, for this complimentary webinar examining new compliance concerns arising out of the COVID-19 pandemic, including Branch Audits, Selling Away and more. Thursday, August 20, 2020 at 2:00 p.m. Eastern.

Join Bates Group’s next CLE Webinar on Thursday, August 13th, 2020,  “Capital Market Uncertainty in the Time of COVID-19 and the Potential Litigation and Regulatory Impact” when we look at 2020 in the context of past bear markets, compare the 1918 influenza pandemic to today, discuss the sectors and industries hardest hit by the economic disruption, and potential capital market-related litigation and regulatory enforcement matters on the horizon. Featuring (L-R) co-moderators Jack McGuire of Oppenheimer & Co. and Esther Cho of Keesal, Young & Logan, along with Greg Kyle, Bates Group Director and Expert. REGISTER HERE