Webinars

It can be daunting for you and your firm to have to undergo an SEC examination. Join Bates Compliance to learn how to prepare and respond to the SEC during all four key examinations phases.

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.

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.

The COVID-19 pandemic has brought with it an increase in scams directed at seniors and other vulnerable investors. Regulators, as well as securities firms, have had to intensify their efforts to create and implement better protections for these investors.

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. Join our webinar to learn what has happened since REG BI came into effect, how it has impacted the technology side of business, and common concerns raised by the SEC.

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.

Lilian Morvay, Bates Group Expert and Founder/CEO of the Independent Broker Dealer Consortium (IBDC) presents this complimentary webinar.

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.

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.

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. 

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.

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 moderators Sheila Murphy and A. Christine Davis along with three accomplished employment lawyers, Maureen Bogue, Jeanine Conley Daves, and Elizabeth Thompson, 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.

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.

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.

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.