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.

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 Bates Group and Orrick Herrington & Sutcliffe LLP for this CLE webinar which will examine how financial institutions can adapt their AML programs to the new financial environment and regulatory expectations. Thursday, July 30, 2020 at 12 p.m. Eastern.

The NSCP 2020 Midwest Regulatory Interchange with the SEC, DOL and FINRA is taking place on July 24, 2020. Bates Compliance Managing Director Linda Shirkey will be speaking on the SEC Discussions panel at 9 a.m. (Mountain).

Join this virtual Compliance Roundtable on Wednesday, July 15, 2020, where our industry experts and guests 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.

Join Bates Group Director and nationally recognized expert Bruce Cramer when he presents “Reg BI for Litigators.” Topics will include an overview of the SEC’s Reg BI and the Customer Relationship Summary (“Form CRS”), duties, conflict of interest, disclosure, and care obligations, Reg BI’s impact on FINRA’s retail suitability rule, potential claims, discovery, and more.

Join Bates Group moderator Sheila Murphy and Managing Director A. Christine Davis, along with three accomplished employment lawyers as they explore and address employment-related litigation issues, including wage and hour and potential economic damages claims, stemming from COVID-19.

Join our panel of nationally recognized leaders for a conversation about what vulnerable and senior financial investor issues and litigation claims may look like going forward, recent cases and regulatory updates, and resources to assist firms in preventing exploitation. 

May 14, 2020 1:00 PM Eastern/10:00 AM Pacific

Please join moderator Lilian Morvay, Principal and Founder of Independent Broker Dealer Consortium, LLC (“IBDC”) and Bates Expert, along with panelists including Bates Alternative Products Testifying Expert Robert “Bob” Reidy, 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. Hosted by Bates Group and IBDC.

May 12, 2020 3:00 pm Eastern/12:00 pm Pacific

The countdown is on! Join our complimentary Form CRS for IAs webinar Thursday, April 30, 2020. Specifically designed for SEC-registered IAs, this webinar will help you tackle Form CRS with confidence. Presented by Bates Compliance.

Visit Bates Compliance at Booth #10 at the 2020 IAA Investment Advisor Compliance Conference to discuss your compliance needs and solutions on March 5-6  in Washington, D.C. and hear Bates Compliance Managing Director Robert Lavigne on the Vendor Due Diligence Panel.

Robert “Bob” Lavigne, Bates Compliance Practice Leader, will be participating in a joint webinar co-hosted with NICE Actimize entitled “Reg BI Countdown: Strategies to Ensure Compliance” Wednesday, March 4, 2020, 11:00 AM EST. 1 Hour.

Now Available On Demand.

David Birnbaum and Linda Shirkey from Bates Compliance join AI Insights to help you gain an understanding of the SEC’s Regulation Best Interest rules ahead of the June 30 compliance date. 1 hour.

Bates Managing Director and Expert Consultant Hank Sanchez will be speaking at the Nashville Compliance Roundtable on February 13, 2020, in Nashville, TN. Sponsored by TrustCore.

Bates Managing Director Linda Shirkey will be serving as a facilitator at a Regulation Best Interest (Reg BI) Compliance Workshop for FINRA-registered broker-dealers, SEC-registered investment advisers, and dual registrants on Tuesday, February 11, 2020, from 2:30 – 5 p.m. at the UT McCombs School of Business’ Center for Enterprise and Policy Analytics in Austin, Texas.

Bates AML and Financial Crimes Managing Director Edward Longridge will be a panelist at SIFMA's Anti-Money Laundering and Financial Crimes Conference, February 5-6, 2020 in New York, NY. Bates Group is proud to be a returning sponsor and exhibitor at this year's event.

Bates Compliance Managing Director Robert "Bob" Lavigne will be a featured speaker at the SIFMA Regulation Best Interest Vendor Forum, January 16, 2020 in New York, NY.

Meet Bates Compliance Leaders Bob Lavigne and Jill Ehret at the FINRA 2019 Regulation Best Interest Conference, December 18, 2019 in Washington, D.C.