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
Advisers and Brokers
1 file(s) 508.57 KB
Being an SEC Registered Adviser
London, 27 June 2016
By Mark Berman
Being an SEC Registered Adviser London 27 June 2016
1 file(s) 1.23 MB
RIA Trade Life cycles
27 June 2016
RIA Trade Life cycles 27 June 2016
1 file(s) 327.98 KB
ERISA Trading Training
4 July 2016
ERISA Trading Training 4 July 2016
1 file(s) 551.17 KB
CCO Training
3 Feb 2016
By Mark Berman
So you want to be …a Chief Compliance Officer
CCO Training 3 Feb 2016
1 file(s) 656.42 KB
U.S. AA and BD Roadmap
5 Jan 2016
U.S. AA and BD Roadmap 5 Jan 2016
1 file(s) 533.80 KB
CFTC Exemptions from Registration
1 Dec 2015
By Mark Berman
CFTC Exemptions from Registration 1 Dec 2015
1 file(s) 549.38 KB
Participating Affiliates
19 March 2015
Participating Affiliates 19 March 2015
1 file(s) 359.01 KB
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.
Are you ready for your annual review?
1 file(s) 556.39 KB