Background:

Financial services regulation is not a modern concept. A 1285 Statute of Edward I to authorize the Court of Alderman to license brokers in the City of London was the first of many efforts to regulate the markets. Regulation has continued apace on both sides of The Pond, but with differing policies and interests. In this lecture, we explore the evolution of UK and U.S. financial services and regulation from beginnings to a century of fast-paced regulation, from paper journals to quants and from tulip bulb to digitization. We consider how the industry and regulation has weathered crises and what lies in store in our 21st century.

Speaker:

Mark Berman is a highly accomplished individual with extensive experience in financial services regulation, compliance, and law. He has worked with various regulatory bodies and organizations globally, including the Securities and Exchange Commission (SEC), London Stock Exchange (LSE), and Merrill Lynch. Mark is known for his expertise in SEC practice, financial services regulation, and compliance matters. He has authored books and contributed to publications on hedge funds and SEC regulations. Additionally, Mark is involved in various advisory roles and committees related to the financial industry, including serving as a trustee and adviser for organizations like the SEC Historical Society and the Investment Association Trade & Investment Committee. Outside of his professional achievements, Mark has also made significant contributions to sports, particularly softball, and has been recognized by the International Olympic Committee (IOC) for his volunteer work in sport development.