Mark Highman provides regulatory advice to broker-dealers, investment advisers, commodity pool operators, and commodity trading advisors.
Mark provides guidance on regulatory issues, develops compliance and supervisory procedures, and assists clients in responding to regulatory inquiries and examinations.
Mark advises firms on SEC and CFTC registration requirements and exemptions, assists clients in obtaining SEC and CFTC registration, and addresses ongoing requirements of regulated firms under SEC, FINRA, CFTC, and NFA rules, including those applicable to employees, communications, customers, privacy, research, recordkeeping, and reporting.
Mark advises on the regulatory requirements applicable to conducting cross-border securities and derivatives activities with investors in the United States, and on the regulatory requirements applicable to M&A transactions and securities offerings.
Prior to joining the Firm, Mark was a senior attorney at another international law firm.