News & Events – Events

Bates Compliance is a proud sponsor of the 2022 IAA Compliance Conference, March 3-4. 2022. Visit our booth in the exhibit hall and connect with Bates leaders Jennifer Stout, Rory O'Connor and Hank Sanchez to hear about practical insights and best practices that can help you maintain a successful compliance program. Bates Compliance Managing Director Kurt Wachholz will be speaking on the panel "Ethics for Advisers: Compliance with Fiduciary Standards - Part 2" on Friday, March 4 from 8-9 a.m.

Jack McGuire, Esther Cho and Greg Kyle reunite for a new CLE Webinar to provide a capital markets update and discuss related litigation, regulatory and enforcement areas to keep an eye on in 2022. Bates Group Managing Director Alex Russell will be joining the panel to discuss Regulatory issues and updates. Thursday, February 17th from 1:00 - 2:00 p.m. ET.

Bates is proud to participate in the 2022 New York State Bar Association Annual Meeting and its marquee event, the Presidential Summit, on Thursday, January 20, 2022. Led by NYSBA President T. Andrew Brown, the Summit will focus on two of the leading social justice and civil rights matters of the day: a reevaluation of the #MeToo Movement, and the intersection of transgender rights and sports. Bates Group Managing Director Susan Harper will moderate the #MeToo panel, and NY State Attorney General Letitia James will deliver the keynote address.

Join The SIFMA Compliance & Legal Society for a one-on-one conversation between FINRA president and CEO Robert Cook and SIFMA president and CEO Kenneth E. Bentsen, Jr. Bates Group is proud to sponsor this virtual event on January 19, 2022. 

Bates Group is a proud Bronze sponsor of the New York State Bar Association Women In Law Section (WILS) 18th Annual Edith I. Spivack Symposium – "Women Leaders: Driving Change by Opening Doors and Raising Our Voices" – and the Kay Crawford Murray Memorial Award program honoring an outstanding attorney who recognizes the value of diversity and mentoring in the legal profession. This two-day virtual event will be held during the 2022 NYSBA Annual Meeting on January 18 and 25, 2022. Registration is now open.

The cryptocurrency legal and compliance landscape is constantly changing, and there’s more scrutiny than ever before on the industry. Please join leading experts from Bates Group and McDermott Will & Emery for a discussion on the current virtual currency environment and what you need to know for your business as we kick off 2022.

Join Bates Group at the IMTC World Conference 2021, the signature event of the Cross Border Transfers & Payments Industry, November 16-19, 2021. Online and in person at the Seminole Hard Rock Hotel & Casino in Miami, FL. Bates Managing Director of AML Compliance Brandi B. Reynolds (CAMS-Audit, CCI, CCCE) is a featured speaker and instructor at this conference.

Join Bates Group at the American Bar Association’s 2021 Women in Litigation Joint CLE Conference, November 17-19 at the Boston Park Plaza in Boston, MA. The conference features accomplished securities and insurance speakers, including Bates Affiliate Expert Sheila Murphy.

Bates Compliance is proud to be a Silver MemberAlly sponsor of the 2021 NSCP National Conference, November 8-10 at the Gaylord National Hotel in National Harbor, MD. Bates Managing Directors Linda Shirkey and Hank Sanchez will be speaking on conference panels.

Join Bates at Legalpalooza, the Premier one-day virtual CLE event sponsored by the Morris County (NJ) Bar Association, on November 4, 2021 from 9:30 to 5:30 pm.

Bates Group is a proud Diamond sponsor of the Florida Securities Dealers Association Industry Outreach Program "2021: Charting A Path Forward." Thursday, September 30 in Tampa, FL.

Join Bates Compliance leaders Linda Shirkey and Rhonda Davis for this complimentary webinar as they examine key provisions of the new marketing rule, address investment adviser concerns, and discuss practical ways to conform oversight, recordkeeping and disclosure requirements under the rule. Wednesday, September 29, 2021 at 1:00 p.m. ET.

Bates Group is a proud sponsor of the  IBDC 2021 Risk Management Conference, September 12-15, 2021, at the Montage Palmetto Bluffs in Bluffton, SC. This conference is attended by Chief Executive Officers, Chief Compliance Officers, Risk Management Officers, and Due Diligence Officers of major national IBDs and RIAs. Bates Group Director Andrew Daniel is a featured speaker.

Bates Group is proud to honor and support veterans as a sponsor of the Raymond James Valor Network annual golf tournament event on Saturday, September 11th, 2021.

Join Bates Insurance Experts on Tuesday, August 3, 2021 for an informative CLE webinar discussing cyber insurance and vanishing premium litigation, among other hot topics.

Join Bates Group for this new, complimentary 1-hour webinar examining the effects that remote working conditions during the pandemic had on supervisory activity, disciplinary actions and terminations — what we are seeing today and what to expect going forward. Panelists include industry leaders and experts who will share their insight on the developing issues impacting employers and employees in 2021.