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Washington DC Compliance

Round Table


Web Event: 2023 SEC Examinations Priorities

Marshall Gandy

Senior Officer and National Associate Director of the Investment Adviser and Investment Company examination program, Division of Examinations, SEC

Marshall Gandy
       8 june 2023
04:30 pm est

Join us for a virtual meeting with Marshall Gandy.

Marshall Gandy is a Senior Officer and National Associate Director of the Investment Adviser and Investment Company examination program in the SEC’s Division of Examinations. Along with Natasha Greiner, they oversee approximately 650 lawyers, accountants, and examiners responsible for inspections of SEC-registered investment advisers and investment companies. Mr. Gandy also continues to serve as the Associate Regional Director for Examinations in the SEC’s Fort Worth Regional Office where, since 2012, he has led a staff of forty-five accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, hedge fund managers, private equity firms, municipal advisers, and transfer agents in Texas, Oklahoma, and Arkansas. In addition, he serves in various senior leadership roles in the Division of Examinations, including sitting on the Management Committee. In 2014, Mr. Gandy received the SEC’s Excellence in Leadership Award from Chair Mary Jo White; in 2020 he received the SEC’s Irving M. Pollack Award from Chairman Jay Clayton; and in 2021 he received the Chair’s Award for Investor Protection from Chair Gary Gensler. Mr. Gandy joined the SEC’s Fort Worth office in 1999 where he spent eight years as a staff attorney and trial counsel in the Division of Enforcement. Beginning 2008, he served as the Senior Regional Counsel in Dallas District Office of the Financial Industry Regulatory Authority before returning to the SEC in 2012. Mr. Gandy began his legal career in Dallas County as Criminal Court Judge and an Assistant District Attorney. He obtained his J.D. from Southern Methodist University.

WDCCRT Members can RSVP at by COB 6/3/23 to receive log-in information.



The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:


  • To educate compliance professionals in the financial and securities industries; and

  • To facilitate networking opportunities for compliance professionals in the financial and securities industries.

The Washington DC Compliance Round Table is a nonprofit organization under Section 501(c)(6) of the Internal Revenue Code of 1986.

For membership information please use Contact form



Past Events

Past Events


Web Event: SEC Proposal - Outsourcing by Investment Advisers

Jennifer Porter
Rulemaking Office – Investment Adviser Regulation Office Division of Investment Management, SEC


Webinar: Demystifying Cyber Insurance

Gregory T. Longest

Managing Director at Marsh McLennan


Web Event: SEC Enforcement Cyber Security issues

Melissa R. Hodgman

Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission


Webinar: Overview of Proposed SEC Cybersecurity Rules for Investment Advisers, Registered Investment Companies, and Business Development Companies


Laura Grossman

Associate General Counsel of the Investment Adviser Association (IAA)

Maria Chambers

CCO and VP, Klingenstein Fields Advisors

Marina Baranovsky

Managing Partner, Scitus Consulting LLC & Board President, WDCCRT


Webinar: 2022 SEC Private Funds Proposal: Key Considerations


Kim Versace

Chief Compliance Officer of Cartica Capital Management LLC


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