Events Archive

CompliGlobe organise, lead and participate in regulation and compliance conferences, briefings, workshops, webinars and other events around the world. Here you can download presentations and other materials from some of these events:

U.S. Compliance for foreign Advisers

What you need to know, and why

Complimentary Briefing and Update

SEC registered advisers must comply with the U.S. Investment Advisers Act of 1940 and the rules thereunder.  In this FREE presentation, we set out what you need to know, and why.  We explain the basics and details in steps that are easy to understand and implement.  Learn direct from former SEC lawyers what the SEC expects from you, not “what the law is” or “we know this better than most”.

Learn from the experts

Robert E. Plaze

Partner, Stroock & Stroock & Lavan LLP
Former Deputy Director, Division of Investment Management, U.S. Securities and Exchange Commission

Mark Berman

CEO, CompliGlobe Ltd
Former U.S. Securities and Exchange Commission lawyer

During an almost 30 year career at the SEC,  Mr Plaze authored many of the key rules affecting investment advisers. Today, he represents advisers registered with the SEC as well as funds they sponsor.

A former SEC lawyer, Mr Berman consults on U.S. compliance matters with many Swiss firms and other non-U.S. global advisory firms that collectively manage more than $200bn of assets.

Topics to be covered include

  • Applicability of the U.S. securities laws to Swiss advisers
  • SEC compliance expectations
  • Written policies and procedures
  • CCO responsibilities and liability
  • Annual review
  • Monitoring and testing
  • Enforcement trends
  • What to do when the SEC examines you
  • FCPA

To register at no charge, click here:

November 2013: SEC Regulation Outside the United States Conference, London

This must-attend conference put attendees directly in front of current and former SEC officials who provided inside knowledge of how the SEC legislates and enforces U.S. securities laws, and how these affect organisations outside the United States.

For non-U.S. financial services practitioners wishing to access the U.S. markets this was a unique opportunity to tap into the combined knowledge and experience of a distinguished faculty of expert speakers to discover what regulatory developments from the SEC and other U.S. bodies meant for them.

Please contact us to find out more about the presentations from this conference.

10th November 2010, London: Hedge 2010

This presentation from Hedge 2010 in London looks at what’s happening in the United States regarding hedge fund managers and asks how does this stack up with the AIFM and EU regulatory structure?

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5th October 2010, Singapore Corporate Governance 2010

Delivered during Singapore’s inaugural Corporate Governance week, this presentation looks at the Credit Crisis and the Changing Legislative Landscape, and asks: Will Good Corporate Governance Make a Difference?

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8th September 2010, Cambridge: Legal Risks and Good Governance for Central Banks and Supervisors

An overview of hedge funds and the shadow banking sector that puts forward the argument to regulate banks, not hedge funds.

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2nd September 2010, Hong Kong

An overview of Dodd-Frank, the Private Fund Investment Advisers Registration Act and UK/EU Developments, presented by Mark Berman.

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