Bates Group -Ulmer Berne’s 2015 Broker-Dealer Compliance Roundtable a Success

Esdras Vera, Global Practice Leader of Bates Compliance Solutions, was one of four featured speakers, which also included program moderator, Alan Wolper, Partner in Charge, Chicago office, Co-Chair Financial Services & Securities Litigation, at Ulmer & Berne, Nathan Lamb, Partner, Ulmer & Berne, and Kenneth L. Wagner, Partner and Broker/Dealer Compliance Officer at William Blair & Company LLC. The interactive program covered AML Developments, CCO Liability and the 2016 Compliance Outlook. For more information about Bates Compliance Solutions, please go to: http://www.batesgroupllc.com/practice-area/compliance-solutions.