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.

RIA RA article Sept 15, 2020

Hedge Fund Oversight, AIMA Journal Winter 2008

U.S. SEC CFTC and NFA Roadmap Oct 22, 2018

OCIE Exams Guide Nov 6, 2018

Being an ERA June 19, 2018

Being an SEC Registered Adviser June 1, 2018

Regulatory Simplification – Services Overview 2017

Participating Affiliates 17 March 2017

SEC Hot Topics March 21, 2018

ERISA Trading Training 4 July 2016

13H May 4, 2018

Enter the Dragon: Obtaining a Hong Kong Securities License

SEC Enforcement Action: Unregistered Non-U.S. Adviser and Broker

Insights – Dutch Auctions