FacultyFaculty/Author Profile
Kris  Easter Guidroz

Kris Easter Guidroz

U.S. Securities and Exchange Commission
Assistant Director, Supervisory Cooperation, Office of International Affairs
Washington, DC, USA

Kris is an Assistant Director in the SEC’s Office of International Affairs, where she facilitates international cooperation on a variety of cross border supervisory issues, including on site examinations of foreign-domiciled firms; exchanges of exam and risk-monitoring information with international regulatory counterparts; and referrals to international regulatory counterparts.  She joined International Affairs from the Risk and Examinations Office of the SEC’s Division of Investment Management, where she helped oversee special projects related to risk monitoring of asset managers and the private and registered funds they manage. 

Previously, Kris worked in the financial services group of a large law firm, where she counseled financial institutions on their regulatory and compliance obligations under the federal securities and commodities laws, and in the Chief Counsel’s Office of the SEC’s Office of Compliance Inspections and Examinations (OCIE).  As an Assistant Director in OCIE’s Chief Counsel’s Office, Kris played a key role in several regulatory initiatives including the Dodd-Frank legislation and follow-up rules, setting examination policy, developing a new internal compliance function, and providing legal and policy advice to staff in the SEC’s national examination program.


  • twitter
  • LinkedIn
  • YouTube
  • RSS

All Contents Copyright © 1996-2019 Practising Law Institute. Continuing Legal Education since 1933.

© 2019 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.