Events | 05-22-26
Hank Sanchez in Dallas for the NSCP Interactive Compliance Lab
Bates Group Managing Director Hank Sanchez will be leading a session at the NSCP Interactive Compliance Labs for BDs & IAs in Dallas. This is be a full-day, hands-on event designed to deliver practical, real-world compliance training through case studies, small-group discussions, and hypothetical scenarios.
Date: Wednesday, June 3, 2026
Time: 8:30 AM - 5:00 PM (CDT)
Host: Sheppard Mullin, 2200 Ross Avenue, 20th Floor, Dallas, TX 75201
Reg S-P Amendments/Privacy Controls: Evolving Privacy Regulations | 9:30 AM - 10:45 AM
Complying with the requirements of Amended Regulation S-P requires covered financial institutions to develop protections for safeguarding customers’ personally identifiable information (PII) and creating an incident response program to respond to data breaches in conformance with applicable laws.
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.