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.