About the Author:
Mark Berman, the founder and a Principal of CompliGlobe Ltd., advises hedge funds (including the Threadneedle Crescendo hedge funds), investment managers, multi-national banks and investment firms on cross-border regulatory, compliance and AML matters. He is the editor and contributor to Hedge Funds and Prime Brokers (Risk Books) and SEC Regulation outside the United States (Risk Books).He founded and chairs the annual conference, SEC Regulation outside the United States, held annually in London, Hong Kong and other locations in Europe and Asia. Berman was a senior lawyer with the Division of Corporation Finance and the Division of Market Regulation of the US Securities and Exchange Commission, where he worked on domestic and cross-border disclosure and trading practice issues, respectively.He was a senior lawyer with the London Stock Exchange where he advised on rule-making, market supervision, commercial and inter-exchange and -regulatory matters, advised the When Issued Trading and Short Selling working parties, drafted the 1994 re-write of the LSE's trading rules and negotiated the Exchange-Thomson-ISMA inter vendor link agreement. In nearly 15 years of industry experience, apart from his time as a regulator, he held positions as head of legal and compliance, compliance officer, MLRO and assistant company secretary, and chaired and served on new product committees.Mark writes articles, conducts training programmes on and speaks regularly at local, regional and global seminars on hedge fund developments and cross-border regulation. He is a Trustee of the SEC Historical Society and a member of the BSF Hall of Fame.
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