CompliGlobe’s principals have published, edited or contributed to a range of books, journals, articles and workshop materials. CompliGlobe’s founder, Mark Berman, authored the industry bible Hedge Funds and Prime Brokers, and edited Introduction to Hedge Funds and SEC Regulation Outside the United States. CompliGlobe contributes to industry journals and regularly presents at industry events around the globe. A number of recent articles and presentations are provided below. Review copies of the books and other materials are available upon request.
Enter the Dragon: Obtaining a Hong Kong Securities License
SEC Enforcement Action: Unregistered Non-U.S. Adviser and Broker
Insights – Dutch Auctions