Compliglobe’s principals and advisers regularly lead discussions and deliver presentations at industry events around the world. A selection of materials from these can be downloaded in our events archive. A selection of recent presentations is also available here:
Advisers and Brokers
18 October 2016
By Mark Berman
Being an SEC Registered Adviser
London, 27 June 2016
By Mark Berman
RIA Trade Life cycles
27 June 2016
ERISA Trading Training
4 July 2016
CCO Training
3 Feb 2016
By Mark Berman
So you want to be …a Chief Compliance Officer
U.S. AA and BD Roadmap
5 Jan 2016
CFTC Exemptions from Registration
1 Dec 2015
By Mark Berman
Participating Affiliates
19 March 2015
Are you ready for your annual review?
Every RIA must amend and file the annual amendment to its Form ADV Part 1 and Part 2A within 90 calendar days after year‐end. This is also the time to conduct your annual review.
