Bates Group is a Proud Sponsor of the 2026 NSCP National Conference

Bates Group is proud to sponsor the 2026 NSCP National Conference, the premier gathering for compliance professionals, October 26–28 in Orlando, FL.

Our team will be attending throughout the event, joining hundreds of compliance professionals, regulators, and counsel to examine the most pressing developments in compliance and regulation.

This year's on-site team includes Co-Chief Executive Officers Alex Russell and Rhonda Davis, Board Vice-Chair Jennifer Stout; Senior Managing Director and BD/RIA Compliance Team Leader Kurt Wachholz, and Managing Directors Armin Sarabi, Jennifer Selliers, and Hank Sanchez.

Featured Speakers

Regulatory Change Management: Building Agile Compliance Programs
Monday, Oct. 26, 1:30–2:45 PM - Jennifer Selliers, CAMS, CCEP, CSCP, Managing Director

Mock Exam Opening Meeting & Document Request Triage: Navigating the Modern Examination Process
Tuesday, Oct. 27, 1:30–2:45 PM - Hank Sanchez, Esq., LLM, Managing Director

Responding to Investigations: Regulatory Expectations & Internal Readiness
Wednesday, Oct. 28, 10:00–11:00 AM -  Rhonda Davis, JD, CAMS, CFE, Co-Chief Executive Officer

Meet Us in Orlando

When an examination or investigation begins, the firms that respond well are the ones that prepared before the request ever arrived. Bates Group helps broker-dealers, investment advisers, and dually registered firms build that readiness through independent reviews, ongoing program support, and direct guidance from practitioners who have managed both sides of the process.

Connect with Bates Group at NSCP 2026, whether at networking sessions, during coffee breaks, or in a one-on-one conversation. Contact us to arrange a meeting before or during the conference.