Partner
Norton Rose Fulbright US LLP
Mark Highman is a securities and derivatives regulation lawyer based in New York. He represents broker-dealers, investment advisers, commodity pool operators and commodity trading advisers on their regulatory requirements under US federal securities laws and the Commodity Exchange Act.
Mark advises regulated firms on the SEC, CFTC, FINRA, FinCEN and NFA Rules, including the requirements applicable to employees, communications, customers, anti-money laundering, privacy, research, recordkeeping, trading, and supervision.
Recent Articles & Comments
The Joint Statement is an important contribution to the ongoing dialogue between the securities industry and regulators as to how to apply existing regulatory requirements to transactions involving digital assets. In this vein, the Joint Statement highlights certain key challenges faced by broker-dealers in complying with custody, recordkeeping and reporting requirements without prescribing how firms should comply with these requirements. Rather, the agencies acknowledge that the industry is…