CompliGlobe’s principals have published, edited or contributed to a range of books, journals, articles and workshop materials. CompliGlobe’s founder, Mark Berman, authored the industry bible Hedge Funds and Prime Brokers, and edited Introduction to Hedge Funds and SEC Regulation Outside the United States. CompliGlobe contributes to industry journals and regularly presents at industry events around the globe. A number of recent articles and presentations are provided below. Review copies of the books and other materials are available upon request.
Hedge Fund Oversight, AIMA Journal Winter 2008
U.S. SEC CFTC and NFA Roadmap Oct 22, 2018
Being an SEC Registered Adviser June 1, 2018
Regulatory Simplification – Services Overview 2017
Participating Affiliates 17 March 2017
ERISA Trading Training 4 July 2016
Enter the Dragon: Obtaining a Hong Kong Securities License
SEC Enforcement Action: Unregistered Non-U.S. Adviser and Broker
Insights – Dutch Auctions