COVID-19: Practice News & Industry Information
Bates has compiled a ready resource of news and information for financial industry service firms and counsel navigating the continuing stream of new and changing regulatory requirements, client needs, risks and liabilities, and other factors of the global COVID-19 pandemic impacting the world's financial markets and economy.
White House/CDC/FEMA
Financial Industry Oversight and Regulator Guidance
U.S. House Committee on Financial Services
SEC COVID-19 Quick Reference Guide for Investors and Market Participants
FINRA COVID-19 Guidance & Advisories
CFTC Response, Temporary Relief and Advisories
NAIC Corona Virus Resource Page
Bates Group Resources
CLE Webinar - Current and Future Employment Issues: What to Expect Going Forward 6-16-21
Regulatory Compliance Roundup: Lessons from the COVID-19 Pandemic 2-24-21
Multi-Branch Office Supervision and Compliance – OCIE Details Deficiencies 12-11-20
Alert: SEC Allows Remote Inspections Through 2021 11-23-20
ABA CLE Webinar: Exploitation of Senior and Vulnerable Investors in the COVID-19 Era and Regulatory Responses 11-19-20
Bates Expert Interview: Reflections on the Impact of COVID-19 on the Fixed Income Market 10-29-20
SIFMA Webinar Series: Virtual Branch Office Compliance Visits 10-05-20
IBDC Webinar: Novel Coronavirus Leads to Novel Compliance Concerns 8-20-20
Alert: SEC Issues COVID-19 Compliance Observations and Recommendations for BDs and IAs 8-17-20