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.
News & Resources
• IFLR 1000 Again Names Cadwalader a Leader in Core Transactional Areas of Practice Nov 06, 2012
• International Financial Law Review's 2013 IFLR 1000 Nov 06, 2012
Clients & Friends Memos
• CFTC Proposes to Set Position Limits in the Energy Futures Market Jan 28, 2010