Mark advises and conducts training programs for investment advisers, brokers, regulators and hedge funds in the UK, Europe and Asia on SEC practice, U.S. and UK financial services regulation, codes of ethics and cross-border compliance.
Mark was a lawyer with the Division of Corporation Finance and the Division of Market Regulation of the U.S. Securities and Exchange Commission where he worked on domestic and foreign private issuer disclosure and trading practices matters, respectively. He was a lawyer with the London Stock Exchange and advised on UK and EU supervision, regulatory and surveillance matters, and helped draft the 1994 rewrite of the LSE’s trading rules.
Mark began his career in financial services as a law clerk with Merrill Lynch. In his time in the industry and apart from being a regulator and founding and leading CompliGlobe, he held senior roles as head of legal and compliance, MLRO, compliance officer and assistant company secretary. He chaired and served on corporate governance, AML and new product committees.
Mark wrote An Introduction to Hedge Funds (2007). He edited and contributed to SEC Regulation Outside the United States (7th ed. forthcoming) and Hedge Funds & Prime Brokers (3rd ed. forthcoming). He founded (in 1997), chairs and speaks at “SEC Regulation Outside the United States”, “SEC Basics” and “CCOs and SEC Examinations”, and “How to Navigate a Prime Brokerage Agreement”, given in London, Hong Kong and other European and Asian locations.
Mark founded, chairs and speaks at “SEC Regulation Outside the United States”, “SEC Basics” and “CCOs and SEC Examinations”. Mark wrote An Introduction to Hedge Funds (2007) and SEC Basics (2025 ed.) and edited/contributed to SEC Regulation Outside the United States (6th ed.) and Hedge Funds & Prime Brokers (2nd ed.).
Mark is a Freeman of the City of London. He is a Liveryman of the Worshipful Company of International Bankers, Events Committee Chair and a Court Assistant. He is a member of the Investment Association Trade & Investment Committee. He is a policy adviser for the US UK Crypto Alliance. He serves on the NFA Hearing Committee.
Mark is a Trustee Emeritus of the SEC Historical Society (Trustee 2006-2009). He served on the Task Force for the SEC’s 75th Anniversary Commemoration in 2009.
Mark graduated from Bowling Green University with his B.A. and M.F.A., and from Touro Law School with his JD. In connection with its Centennial celebration in 2010, BG named Mark one of its 100 most prominent alumni.
He is a member of the U.S. Supreme Court Bar, the Law Society of England & Wales (ret.) and the New York State Bar (ret.).
Mark served on the World Baseball Softball Confederation Softball Technical Commission and World Cup Juries of Appeal. He served on the WBSC Softball Rules Commission and the WBSC Steering Committee for the re-write/edit of the rules of Softball that were used in the Tokyo Olympics, and for which he served on that event’s Jury of Appeal. He worked on the rules of Softball that will be used for the LA Olympics. In 2001, the IOC awarded Mark a Diploma for “a remarkable contribution, as a volunteer, to the development of sport and Olympism.”
A former GB International, Mark is a member of the BSF Hall of Fame and was named Men’s national team Emeritus Manager. His national team “2” has been retired.