Mark Highman

Professional Advisor
New York,  NY  U.S.A.
Phone212 504 5604

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Experience & Credentials
 

Practice Areas

  • Bank Regulation
  • Broker-Dealer Regulation
  • Commodities & Futures Regulation
  • Financial Regulation
  • Investment Management Regulation & Compliance
  • Swap Regulation
 
University University of Oxford, Queen's College, M.A., 1990
 
Admitted1993, England and Wales; 1996, California. (Not admitted in New York)
 
Biography

Mark focuses on the regulation of broker-dealers, commodity pool operators ("CPOs") and commodity trading advisors ("CTAs").

With respect to broker-dealers, Mark addresses registration requirements and exemptions, assists broker-dealers in obtaining registration, and addresses the ongoing compliance obligations of broker-dealers under SEC and FINRA Rules, including requirements applicable to employees, communications, privacy, customers, research, recordkeeping and reporting requirements. Mark also focuses on the requirements applicable to non-U.S. broker-dealers doing business in the United States. He develops compliance and supervisory procedures for broker-dealers, including those applicable to options, research and cross-border transactions. Mark has contributed extensively to Lofchie's Guide to Broker-Dealer Regulation.

With respect to CPOs and CTAs, Mark focuses on the registration requirements and exemptions relevant to private funds, assists CPOs and CTAs in obtaining registration (or filing for registration exemptions) with the CFTC. He addresses the ongoing compliance obligations of registered CPOs and CTAs under the CFTC and NFA Rules, including their disclosure, reporting and recordkeeping requirements. Mark develops compliance and supervisory procedures for CPOs and CTAs, and is a co-author of Lofchie's Guide to CPO/CTA Regulation.

Prior to joining Cadwalader, Mark worked for seven years at Davis, Polk & Wardwell, focusing on broker-dealer and futures regulation. Mark began his career at Slaughter and May in London, where he worked for five years, specializing in U.K. financial regulation.

Mark has an M.A. in Philosophy, Politics and Economics from The Queen's College, Oxford University, and qualified as a barrister at the Inns of Court School of Law in London. Mark is a member of the State Bar of California.

 
ISLN915948565
 
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Office Information

Mark Highman


New YorkNY 10281-0006




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