Mark Berman
Mark Berman advises, reviews and conducts training programs for investment advisers, broker-dealers, hedge funds, issuers, regulators and multi-national banks brokers in the USA, Europe and Asia on SEC practice, UK, EU and SFC issues and cross-border compliance, regulatory and AML matters. Mark was a lawyer with the Division of Corporation Finance and the Division of Market Regulation of the U.S. Securities and Exchange Commission where he worked on domestic and foreign private issuer disclosure and trading practices matters, respectively. He was a lawyer with the London Stock Exchange and advised on UK and EU supervision, regulatory and surveillance matters and listing issues, and helped draft the 1994 rewrite of the trading rules. Mark began his career in financial services in 1981 as a law clerk with Merrill Lynch. In his 36 years in the industry and apart from his leading CompliGlobe and time as a regulator, he held senior positions as head of legal and compliance, compliance officer, MLRO and assistant company secretary. He chaired and served on new product committees. Mark wrote An Introduction to Hedge Funds (2007 Risk Books). He edited and contributed to SEC Regulation Outside the United States (7th ed. Q1 2018) and Hedge Funds & Prime Brokers (3rd ed. Q2 2018). He founded (1997), chairs and speaks at “SEC Regulation Outside the United States”, "SEC Basics” and “CCOs and SEC Examinations”, and “How to Navigate a Prime Brokerage Agreement”, given in London, Hong Kong and other European and Asian locations. Mark is a Trustee Emeritus of the SEC Historical Society (Trustee 2006-2009). He sat on the Task Force for the SEC’s 75th Anniversary Commemoration in 2009. Mark was graduated from Bowling Green State University with his B.A. and M.F.A. and from Touro Law School with his JD. In connection with its 2010 Centennial celebration, Bowling Green named him one of its 100 most prominent alumni. Mark was Deputy Counsel to the ISF and serves on the ISF Steering Committee for the re-write/edit of the rules of Softball, to be used in the 2020 Tokyo Olympics. He held key roles for the ESF. In 2001, the IOC awarded Mark a Diploma for “a remarkable contribution, as a volunteer, to the development of sport and Olympism.” A former GB International, Mark is a member of the BSF Hall of Fame, Men’s national team Manager Emeritus and his national team "2" was retired. Mark is a member of the New York State Bar, the U.S. Supreme Court Bar and the Law Society of England & Wales. A list of Mark’s publications and information about CompliGlobe is available upon request.