Bates Group Practice Leaders Featured as Speakers at SIFMA Chief Risk Officers’ Roundtable, April 4-5 in Chicago

Bates Group is a proud sponsor of SIFMA's 2024 Chief Risk Officers' Roundtable, April 4-5 in Chicago, IL. This annual event brings together Chief Risk Officers and PWM business unit risk officers to discuss risk identification, measurement and mitigation, as well as interaction and coordination with corporate and business unit management. 

Bates Group practice leaders Rhonda Davis (Managing Director, BD/RIA Compliance) and Alex Russell (Managing Director, Regulatory/Internal Investigations and Data Analytics) were invited to speak on the growing burden of SEC exam requests, trending matters including Underutilization and Rights of Reinstatement, and more.

(This program was orginally scheduled for February 7-8, 2024 in San Diego) 

Bates Group is a financial services consulting firm that provides expert advice and guidance to our partners in compliance, litigation, and regulatory matters. Our subject matter experts are highly regarded in their respective fields. For over 40 years, Bates’ exposure to industry challenges, litigation matters, and enforcement actions has given us unique insight into matters that allow us to benefit all our partners.

Learn how Bates Group can support your firm with risk assessments, independent reviews, and ongoing compliance program support. Contact us today.