News & Events – Events

Bates Compliance is proud to return as an exhibitor to the 2021 FINRA Annual Conference May 18-20, 2021. Visit our virtual exhibit booth to chat with Bates representatives, download useful industry analysis and resources, and enter the booth raffle for a chance to win!

Anti-Money Laundering continues to be a top target of examiners and enforcement, resulting in professional repercussions and millions of dollars of fines each year. Financial institutions and AML professionals are under increasing pressure now more than ever. Join us for this program to hear insights on managing these new realities during this time of increased regulatory scrutiny.

Bates CEO Jennifer Stout and Expert Linda Houston will be speaking at the upcoming Fifth Annual Southeastern Women in Financial Services (SWIFS) Spring Symposium on May 4, 2021. Bates is also a sponsor of the 2021 Spirits of Pace event on May 6, benefitting the Pace Center for Girls, Hillsborough, FL.

Bates AML and Financial Crimes and NICE Actimize will be co-hosting a webinar on the Anti-Money Laundering Act of 2020 ("AMLA").on April 28, 2021 at 11:00 a.m. ET.

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.

Bates Compliance is a proud Supporting Sponsor of the 2021 IAA Virtual Compliance Conference. Alex Russell (Managing Director, White Collar, Regulatory and Internal Investigations) and Linda Shirkey (Managing Director, Bates Compliance) will be speaking on the GameStop panel at 11 a.m. on Friday, March 5th.

Join SIFMA and the SIFMA C&L Society on February 25, 2021 from 1:00-2:20pm ET for a two-part webinar on current developments on family offices and the SEC’s latest exam priorities. Bates Compliance Managing Director Linda Shirkey will be speaking. Sponsored by Bates Group.

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.