Mark Highman is a senior attorney in Cadwalader’s Financial Services Department in New York. Mark focuses on the regulation of broker-dealers, investment advisers, commodity pool operators and commodity trading advisors. He provides guidance on regulatory issues, develops compliance and supervisory procedures, assists clients in responding to regulatory inquiries, and advises on commodity pool issues applicable to structured investment products. In addition, more recently he has been focusing on the evolving regulation of virtual currency transactions.
Mark has contributed to Lofchie’s Guide to Broker-Dealer Regulation and Lofchie’s Guide to Commodity Pool Operator Regulation. He is a member of the Managed Funds Association CTA/CPO & Futures Committee, and the Legal & Compliance Division of the Futures Industry Association.
Prior to joining Cadwalader, Mark worked for seven years in the Financial Institutions Group at Davis, Polk & Wardwell. Mark began his career at Slaughter and May in London, where he worked for five years, focusing on 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 in England (currently inactive). He received his LLM, magna cum laude, from Fordham University School of Law, where he was awarded the Actum Foundation prize in Banking, Corporate and Finance Law. Mark is a member of the State Bars of New York and California.
Mark’s principal areas of focus include:
Investment Advisers, Commodity Pool Operators & Commodity Trading Advisors