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06-14-23
How you handle a FINRA investigation is critical, and being uninformed or ill-prepared could lead to significant consequences for your client. Join this upcoming webinar from NYCLA for a discussion of best practices, common pitfalls to avoid, ethical obligations, and FINRA investigation priorities for 2023.
06-14-23
Join Bates leaders Joe Thomas and Clay Grumke at the SIFMA C&L Society 2023 regional seminar June 14th, 2023, in St. Louuis, MO.
06-06-23
Bates Compliance Managing Director Rhonda Davis will be speaking on “Evidencing Best Interest” at NICE Actimize Engage - June 6, 2023 in New York City
05-24-23
Bates Group Managing Consultant John Ashley will be speaking at an upcoming webinar on "Banking Digital Currency," May 24, 2023, sponsored by the American Bankers Association.
05-24-23
Bates Managing Director and Virtual Assets practice leader Brandi R. Reynolds, CAMS-Audit, will be a guest speaker at the 2023 1CryptoWorld | Global Crypto Conference, May 24, 2023.
05-16-23
Join Bates Group leaders Jennifer Stout, Ira Hammerman, David Birnbaum, and Hank Sanchez at the 2023 FINRA Annual Conference, May 16-18 in Washington, D.C.
05-10-23
Bates Regulatory and Internal Investigations Managing Consultant Lindsey Dean, CPA, CFE to speak at the California Department of Financial Protection and Innovation’s Enforcement Division Staff Conference, Wednesday, May 10, 2023 in San Diego, CA.
05-07-23
Join Bates at the IBDC-RIAC Risk Management Conference May 7-10, 2023, at the beautiful St. Regis Hotel in Park City, Utah. Our colleague Ira D. Hammerman will be featured on the panel “A look at the SEC’s and FINRA’s 2023 priorities and guidance for IBDs and RIAs on how to navigate regulatory scrutiny.” Bates is a proud sponsor of the conference.
05-03-23
Meet Bates Senior Executive Advisor Jennifer Stout and Managing Director Paul Lambert at SIFMA’s Private Client Conference, May 3-5 in Fort Lauderdale, FL.
05-02-23
Bates is proud to sponsor the Southwest Women in Financial Services (SWIFS) 2023 Spring Symposium, May 2, 2023 at Raymond James headquarters in St. Petersburg, FL.
04-26-23
Meet Bates Group crypto leaders Brandi Reynolds and John Ashley at CoinDesk's Consensus 2023 conference, April 26-28, 2023 in Austin, TX.
04-21-23
Bates is a proud Diamond Sponsor of the FSDA Industry Outreach Program "2023: Unmasking Market Opportunities." April 21, 2023 at the Boca Raton Marriott at Boca Center. Register today to join Bates CEO Jennifer Stout , Chair of the program, at this re-scheduled program.
04-19-23
Join Bates Group Managing Consultant John Ashley along with experts from Alloy and Chainalysis on this new webinar as they discuss regulatory compliance and best practices impacting companies building crypto-enabled products. Wednesday, April 19, 2023 at 1:00 p.m. ET
04-18-23
Bates Compliance Managing Directors Kurt Wachholz and Hank Sanchez will be speaking on panels at the NSCP Interactive Compliance Lab - April 18, 2023 at Fordham School of Law in NYC.
03-23-23
Join Bates at the NMLS 2023 Annual Conference, April 3-6, 2023 in Phoenix. Hear Bates Director Matt Summers speak on the CSBS Money Transmitter model law. Registration now open.
03-10-23
Bates is a proud returning sponsor of the SIFMA C&L 2023 Annual Seminar, March 12-15 at the Marriott Marquis San Diego Marina. Visit Bates at booth #516.