Mark Berman, CEO, CompliGlobe
Mark Berman advises and conducts training programmes for hedge funds, investment managers, issuers, regulators and multi-national banks and brokers in Europe and Asia on SEC practice outside the United States, UK and EU issues and cross-border regulatory, compliance and AML matters. Mark was a 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 foreign private issuer disclosure and trading practices issues, respectively. He was a lawyer with the London Stock Exchange where he advised on UK, EU and US supervision, surveillance and regulatory matters and listing rules issues, and helped draft the 1994 re-write of the trading rules. Mark began his career in financial services with Merrill Lynch. Apart from his leading CompliGlobe and his 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 (Risk Books). He edited and contributed to SEC Regulation Outside the United States (Risk Books) and Hedge Funds & Prime Brokers (Risk Books).
Paula Drake, Associate Director, Office of Compliance, Inspections and Examinations
Paula Drake joined the Securities and Exchange Commission as the Associate Director, Chief Counsel and Chief Ethics Officer of the Office of Compliance, Inspections and Examinations in August 2012. From 1996 to 2012, Ms. Drake was General Counsel and Chief Operating Officer (from 2008) of Oechsle International Advisors, LLC, an international investment adviser with operations in Boston, London, Hong Kong and Frankfurt.
Previously, she was Legal Counsel at Fidelity Investments and an Associate at the Boston law firm, Ropes & Gray. From 2004 to 2012, Ms. Drake served as a Board Member of the Investment Advisers Association. Ms. Drake has a J.D., cum laude, from Harvard Law School and a Ph.D., in English, with Distinction, from the University of Massachusetts.
Daniel Kahl, Assistant Director, Division of Investment Management at SEC
He is is the Assistant Director in charge of the Office of Investment Adviser Regulation in the Division of Investment Management at the SEC. The Office of Investment Adviser Regulation is responsible for the development of policy, rulemaking and exemptive matters under the Investment Advisers Act of 1940.
Prior to joining the Commission in 2001, Dan worked for the Investment Adviser Association, FINRA, and the North American Securities Administrators Association. He received his B.S. from Penn State University, J.D. from Southern Methodist University, and LL.M. (Securities) from Georgetown University.