CompliGlobe: SEC compliance & hedge fund regulation

About CompliGlobe

In a complex, fluid world, you need a regulatory adviser with global experience. Whether in Asia, Europe or North America, we have specialists who have been there.

In a complex, fluid world, you need the regulatory adviser with overseas experience: CompliGlobe. Our focus is assisting financial services…

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Dodd-Frank Exemptions

The SEC has adopted long-anticipated new rules that will compel a significant number of investment advisers doing business in the US to register with the Commission.

June 22, 2011 - At its Open Meeting today, the US Securities and Exchange Commission adopted long-anticipated new rules that…

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Enter The Dragon

Obtaining a Hong Kong Securities License - A handy guide to review and understand the requirementsfor obtaining a license from the HK Securities and Futures Commission

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An SEC Valentine

This Valentine's Day, the U.S. Securities and Exchange Commission (SEC) has a gift for advisers to hedge funds around the world.

This Valentine's Day, the U.S. Securities and Exchange Commission (SEC) has a gift for advisers to hedge funds around the…

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•   About CompliGlobe In a complex, fluid world, you need a regulatory adviser with global experience. Whether in Asia, Europe or North America, we have specialists who have been there.  
•   Dodd-Frank Exemptions The SEC has adopted long-anticipated new rules that will compel a significant number of investment advisers doing business in the US to register with the Commission.  
•   Enter The Dragon Obtaining a Hong Kong Securities License - A handy guide to review and understand the requirementsfor obtaining a license from the HK Securities and Futures Commission  
•   An SEC Valentine This Valentine's Day, the U.S. Securities and Exchange Commission (SEC) has a gift for advisers to hedge funds around the world.  

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CompliGlobe is the only regulatory adviser based in multiple locations outside the United States that is dedicated to SEC regulation, managed by a former SEC lawyer and staffed with former Chief Compliance Officers and MLROs. We are independent and staffed by dedicated, experienced professionals.

As your trusted partner, we assess your needs and review your proposed activity, confirm a course of action or recommend other options, carry out research, design and implement your programme, assess effectiveness and propose changes when required. Be it registration or other matters with a regulator, a compliance programme, training activities, company secretarial work or an anti-money laundering programme, we help you achieve your goals in a time- and cost-effective manner.

Dodd-Frank Exemptions: Complimentary SEC Briefings

At its Open Meeting in June, the US Securities and Exchange Commission adopted long-anticipated new rules that will compel a significant number of investment advisers doing business in the United States to register with the Commission.

During November CompliGlobe will be hosting a series of complimentary morning SEC Briefings in Geneva, Zurich, Jersey, Dublin and London covering the key issues and implications. You can book your place here.

Compliance and Regulatory Services

Take advantage of our range of SEC Compliance, Regulatory Compliance and other compliance and oversight services: