Presentations

CompliGlobe’s principals and advisers regularly lead discussions and deliver presentations at industry events around the world. A selection of materials from these can be downloaded in our events archive. A selection of recent presentations is also available here:

Advisers and Brokers

18 October 2016
By Mark Berman
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Being an SEC Registered Adviser

London, 27 June 2016
By Mark Berman
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RIA Trade Life cycles

27 June 2016
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ERISA Trading Training

4 July 2016
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CCO Training

3 Feb 2016
By Mark Berman
So you want to be …a Chief Compliance Officer
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U.S. AA and BD Roadmap

5 Jan 2016
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CFTC Exemptions from Registration

1 Dec 2015
By Mark Berman
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Participating Affiliates

19 March 2015
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Are you ready for your annual review?

Every RIA must amend and file the annual amendment to its Form ADV Part 1 and Part 2A within 90 calendar days after year‐end. This is also the time to conduct your annual review.

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