SEC Registration for non-US institutions, investors and regulators

Compliglobe specialize in advising institutions and investors in the non-US implications of the US securities laws and the SEC's rules and regulations. Mark Berman, head of the practice, is a former senior SEC lawyer who authored the definitive industry guide, SEC Regulation Outside the United States (going into its seventh edition), founded and chairs a conference on the same topic and conducts specialist workshops on SEC regulation and SEC inspections of non-US advisers in Europe and Asia.

Specialist SEC Compliance Services

We will assist on:

• non-transactional issues under the US securities laws and SEC rules
• corporate governance issues
• Sarbanes-Oxley Act issues, including ICFR processes and reports
• conducting RFP processes to appoint or replacing the depositary for ADR and DR programmes
• registration as an investment adviser
• registration as a broker-dealer
• registration as a futures commission merchant
• implementing and reviewing compliance programmes and ADR and DR programmes
• training directors, compliance officers (including the chief compliance officer) and operations and trading staff
• codes of ethics (including PA dealing)
• preparing for inspections and investigations, including conducting "mock inspections"
• conducting annual reviews
• handling all aspects of SEC practice for non-US persons