Marita Bartolini has over 20 years of examination experience and serves as an Assistant Director for OCIE’s Home Office Investment Adviser and Investment Company Examination Program. In this capacity, she partners with other assistant directors to lead and manage the group’s 30 examiners. In her various roles in the IA/IC group, she has led examination teams of both retail and institutional investment advisers; private funds’ alternative mututal funds, money market funds and pricing services. Marita serves on specialized working groups and various committees that support the developemtn and improvement of the examination program. Marita has a B.S. degree in finance (Suma cum Laude) from the University of Maryland at College Park, Smith College of Business and Management
Sara Cortes has over a decade of experience in financial regulation. She currently heads the Investment Adviser Regulation Office in the Division of Investment Management of the SEC, where she leads the consideration of policy issues affecting registered investment advisers. Ms. Cortes led the Commission’s Investment Company Reporting Modernization initiative, which the Commission adopted in 2016. This rulemaking will transform the amount and quality of data that mutual funds will provide regarding their portfolios and business operations in order to enhance all aspects of the Commission’s regulation of asset managers.
As Senior Advisor to the Honorable Elisse Walter, she advised the Commissioner on a variety of enforcement actions and domestic and international regulatory initiatives. During Ms. Walter’s tenure as Chairman, Ms. Cortes served as her Deputy on the Financial Stability Oversight Council. Ms. Cortes also advised the Commissioner on rules implementing Title VII of the Dodd-Frank Act regarding the SEC’s domestic and cross-border regulation of security-based swaps, as well as rules implementing provisions of the JOBS Act.
Ms. Cortes has also advised the SEC’s Enforcement Division on numerous enforcement actions as an attorney in the SEC’s Office of General Counsel. Before joining the SEC, Ms. Cortes handled a broad range of enforcement actions and regulatory matters at the Federal Reserve Board. In private practice, Ms. Cortes conducted internal investigations and advised underwriters and issuers in public offerings and private placements.
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).