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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

Pete Haggerty is a Senior Regulatory Counsel in OCIE’s Investment Adviser/Investment Company (IA/IC) Examination Program. OCIE conducts the SEC’s National Exam Program, and the IA/IC examination program is responsible for conducting exams of investment advisers and investment companies. Prior to joining OCIE, Mr. Haggerty worked in the SEC’s Division of Enforcement for over ten years, including four years with the Division’s Asset Management Unit (AMU), where he brought a variety of enforcement actions against hedge funds, corporations and individuals. Mr. Haggerty also served as Special Counsel in the SEC’s Division of Trading and Markets, where he worked on rulemaking initiatives and broker-dealer registration issues. Mr. Haggerty began his career in private practice, working as a litigator with a focus on commercial and securities litigation.

Jennifer is Branch Chief at the Division of Investment Management – Private Funds Branch,  The Private Funds Branch of the Investment Adviser Regulation Office focuses on regulations affecting private funds, including hedge funds, private equity funds, and venture capital funds, and their advisers. The group provides policy recommendations to the Commission and interpretive guidance to internal constituents and external industry participants.  Prior to joining the SEC, she was an associate at K&L Gates LLP and Seward & Kissel LLP where she advised clients on the structuring, formation, and private offering requirements of private funds and provided counsel to investment advisers in regulatory and compliance matters.  Ms. Songer received a J.D. from Boston College Law School and a B.A. from the University of Pennsylvania.

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).