SEC Registration for non-US institutions, investors and regulators

CompliGlobe specialise in advising institutions and investors in the non-US implications of the US securities laws and the SEC’s rules and regulations. Mark Berman, head of the practice, is a former senior SEC lawyer who authored the definitive industry guide, SEC Regulation Outside the United States (going into its seventh edition), founded and chairs a conference on the same topic and conducts specialist workshops on SEC regulation and SEC inspections of non-US advisers in Europe and Asia.

Specialist SEC Compliance Services

We will assist on:

  • non-transactional issues under the US securities laws and SEC rules
  • corporate governance issues
  • Sarbanes-Oxley Act issues, including ICFR processes and reports
  • conducting RFP processes to appoint or replacing the depositary for ADR and DR programmes
  • registration as an investment adviser
  • registration as a broker-dealer
  • registration as a futures commission merchant
  • implementing and reviewing compliance programmes and ADR and DR programmes
  • training directors, compliance officers (including the chief compliance officer) and operations and trading staff
  • codes of ethics (including PA dealing)
  • preparing for inspections and investigations, including conducting “mock inspections”
  • conducting annual reviews
  • handling all aspects of SEC practice for non-US persons