Events | 05-05-26
Bates Group is on the Agenda at the NSCP Compliance Lab in Miami
Bates Group is proud to share that two of our managing directors will be leading sessions at the NSCP Interactive Compliance Lab for BDs & IAs in Miami. This will be a full-day, hands-on event designed to deliver real-world compliance training through case studies, small-group discussions, and hypothetical scenarios. Attendees will leave with practical tools they can apply immediately in their compliance programs.
Date: Wednesday, May 20, 2026
Time: 8:30 AM - 5:00 PM (EDT)
Host: Kaufman Rossin, 3310 Mary Street, Miami, FL 33133
Bates Group on the Agenda
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Reg S-P Amendments/Privacy Controls: Evolving Privacy Regulations (9:30 AM - 10:45 AM)
Instructor: Hank Sanchez, Esq., Managing Director, Bates Group
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Managing Conflicts of Interest in the Firm’s Business Activities (11:00 AM - 12:15 PM)
Instructor: Jennifer Selliers, CAMS, CCEP, CSCP, Managing Director, Bates Group
Whether you will be attending the event or are simply looking to strengthen your compliance program, Bates Group is here to help. We work with broker-dealers and registered investment advisers on a full range of compliance consulting services including Annual Reviews, Outsourced Compliance, and Ongoing Support.
Connect with the Bates Group team to learn how we tailor compliance solutions to your firm's needs.