Washington DC Compliance
Web Event: 2023 SEC Examinations Priorities
Senior Officer and National Associate Director of the Investment Adviser and Investment Company examination program, Division of Examinations, SEC
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 firstname.lastname@example.org 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.
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