Mark Berman

Mark BermanMark, who founded CompliGlobe, advises and conducts training programmes for hedge funds, investment managers, issuers, regulators and multi-national banks and brokers in Europe and Asia on SEC practice outside the United States, UK and EU issues and cross-border regulatory, compliance and AML matters.

Mark was a lawyer with the Division of Corporation Finance and the Division of Market Regulation of the US Securities and Exchange Commission where he worked on domestic and foreign private issuer disclosure and trading practices issues, respectively. He was a lawyer with the London Stock Exchange where he advised on UK, EU and US supervision, surveillance and regulatory matters and listing rules issues, and helped draft the 1994 re-write of the trading rules.

Mark’s career in financial services began with Merrill Lynch. In 15 years of industry experience and apart from his time as a regulator and with CompliGlobe, he held senior positions as head of legal and compliance, compliance officer, MLRO and assistant company secretary. He also chaired and served on new product committees.

Mark wrote An Introduction to Hedge Funds (2007 Risk Books). He edited and contributed to SEC Regulation Outside the United States (7th ed. Q4 2011 Risk Books) and Hedge Funds & Prime Brokers (2nd ed. 2009 Risk Books). He founded, chairs and speaks at “SEC Regulation Outside the United States”, “SEC Basics”, “SEC Inspections and CCOs” and “How to Navigate a Prime Brokerage Agreement,” given in Hong Kong, London and other European and Asian locations. Mark is a Trustee Emeritus of the SEC Historical Society (Trustee 2006 to 2009). He was a member of the Society’s Task Force for the SEC’s 75th Anniversary Commemoration in 2009.

Mark is a member of the BSF Hall of Fame. He sits on the ESF Legal Commission and the ISF Legislative Commission. In 2001, Mark received a Diploma from the IOC for “a remarkable contribution, as a volunteer, to the development of sport and Olympism.” In February 2010, Mark was named Deputy Counsel for the ISF.

Mark was graduated from Bowling Green University with his B.A. and M.F.A. and from Touro Law School with his JD. In connection with its Centennial celebration in 2010, Bowling Green named Mark as one of its 100 most prominent alumni.

Mark is a member of the Law Society of England & Wales, the New York State Bar and the US Supreme Court bar.