
Washington DC Compliance
Round Table
Events
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

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 contact@wdccrt.org by COB 6/3/23 to receive log-in information.
About WDCCRT
The Washington DC Compliance Round Table is a trade association organized primarily for the purposes of promoting the following common business interests:
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To educate compliance professionals in the financial and securities industries; and
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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
WDCCRT Board

Board Director Global CCO, EJF Capital LLC
Sponsors



Past Events
4/20/2023
Web Event: SEC Proposal - Outsourcing by Investment Advisers
Jennifer Porter
Rulemaking Office – Investment Adviser Regulation Office Division of Investment Management, SEC
12/01/2022
Webinar: Demystifying Cyber Insurance
Gregory T. Longest
Managing Director at Marsh McLennan
10/20/2022
Web Event: SEC Enforcement Cyber Security issues
Melissa R. Hodgman
Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission
9/15/2022
Webinar: Overview of Proposed SEC Cybersecurity Rules for Investment Advisers, Registered Investment Companies, and Business Development Companies
Speaker:
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
7/14/2022
Webinar: 2022 SEC Private Funds Proposal: Key Considerations
Speaker:
Kim Versace
Chief Compliance Officer of Cartica Capital Management LLC