Upcoming Events

CompliGlobe organise, lead and participate in regulation and compliance conferences, briefings, workshops, webinars and other events around the world.

Details of upcoming events are published here on a regular basis.

You can also browse our events archive where you can download presentations , briefings and other materials.

How to Navigate a Prime Brokerage Agreement

London, 30 November 2015

The relationship between hedge funds and prime brokers drives the alternative industry and our financial markets. Neither could exist without the other. This partnership is based on the prime brokerage agreement. How are these crafted? On what requirements are they based? How is the credit crisis changing PBAs? This unique one day workshop concentrates on prime brokerage agreements. It helps you understand how hedge funds obtain the capital they need to trade, hedge their portfolios and deliver absolute returns.  Further information

CFTC/NFA Examination workshop in London

London, 28 September 2015

SEC Basics is an intensive, interactive workshop suitable for those with little or no knowledge of the U.S. securities laws, the SEC or the SEC’s rules and regulations.  Further information

SEC Examinations & CCOs, Workshop in London

London, 30 September 2015

The number of registered CPOs and CTAs has increased due to the CFTC revoking the exemption for Hedge Funds.  In addition to the increase in registration with the SEC, Hedge funds are now gearing up for CFTC registration.  Whilst there are certain similarities between the CFTC & SEC registration requirements there are also notable differences that Hedge Funds need to be aware of. This half day workshop will help you familiarise yourself with a new regulatory regime that is often enforced on a day-to-day level by the NFA.  Many HF Managers continue to wrestle with the form and substance of their annual self-examination review obligations and how to deal with a NFA examination.

This half day workshop will be led by Mark Berman from CompliGlobe and Patricia Cushing, Director, Compliance at the National Futures Association.

Further information