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Mr. Shapiro is an Assistant Director in the Chief Counsel’s Office of the SEC’s Division of Investment Management. In that role, Mr. Shapiro oversees the provision of guidance relating to the Investment Advisers Act and the Investment Company Act and the rules thereunder. Prior to serving in his current role, Mr. Shapiro has at different times served as a branch chief in both the IM Liaison Office (ILO) and the Chief Counsel’s Office. In those roles, he was responsible for providing guidance to the SEC’s Divisions of Enforcement and Exams, the public, and others, concerning the application of the Investment Advisers Act and the Investment Company Act.

 

Mr. Shapiro has also served as Vice President, Corporate Counsel to Prudential. In that role, he provided legal guidance concerning the provision of investment advice through multiple channels, including through traditional advisers and robo-advisers. Previously, Mr. Shapiro was an associate in the office of Ropes & Gray LLP, where he advised registered investment advisers and investment companies with respect to various legal, regulatory and governance matters. Mr. Shapiro earned his B.S. in Political Science and History from the University of Illinois at Urbana-Champaign, and his J.D. from the University of Virginia School of Law.

Natasha is responsible for leading the Washington, DC-based investment adviser and investment company examination office at the U.S. Securities & Exchange Commission. This new position was created to oversee and direct the work of the approximately 40 lawyers, accountants, and examiners whose primary responsibility is to conduct examinations of offshore SEC registrants and support National Examination Program initiatives throughout the country.

Ms. Greiner has served in various roles at the SEC for the past 18 years, including recently as Acting Chief Counsel and Assistant Chief Counsel in the Division of Trading and Markets where she provided legal and policy advice to the Commission on rules affecting market participants and the operation of the securities markets. Prior to joining the Division of Trading and Markets, Ms. Greiner spent almost a decade in the SEC’s Division of Enforcement, including in its Asset Management Unit, where she investigated possible violations of the federal securities laws and litigated civil enforcement proceedings in federal district court and administrative proceedings. Ms. Greiner began her career at the SEC in OCIE where she conducted examinations of broker-dealers.

Natasha earned her J.D. from The Catholic University of America, Columbus School of Law. She graduated cum laude with a Bachelor of Science degree from James Madison University.

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).