FacultyFaculty/Author Profile
Gena Lai

Gena Lai

U.S. Securities and Exchange Commission
Assistant Director, Division of Trading and Markets
Washington, DC, USA

Gena Lai is an Assistant Director in the Office of Clearance and Settlement (OCS).  She leads a team of two branch chiefs and six staff attorneys to supervise, alongside, OCS’ Risk Monitoring branch, the derivatives clearing agencies registered with the Commission.  These clearing agencies include both domestic and overseas entities, specifically, the Options Clearing Corporation, ICE Clear Credit, ICE Clear Europe, and LCH SA.  OCS’ supervision includes, among other things, the review of proposed initiatives filed with the Commission under the Securities Exchange Act of 1934 and/or Title VIII of the Dodd-Frank Act, to address market, credit, liquidity, legal, operational, or other risks posed by or to the clearing agencies; as well as coordination in the risk and compliance monitoring of these clearing agencies with other domestic and international regulators, such as the CFTC, Federal Reserve, Bank of England, Autorité des Marchés Financiers, and Autorité de Contrôle Prudentiel et de Résolution.  At the Commission, Gena also has served as Trading and Markets Counsel to Commissioner Troy A. Paredes, Senior Special Counsel in the Office of Risk and Examinations in the Division of Investment Management, and Attorney-Adviser in the Office of Broker-Dealer Finances and Office of Chief Counsel in the Division of Trading and Markets.  Outside of the Commission, Gena has served as Attorney in the Office of Investor Education at FINRA, Associate at Weil, Gotshal, and Manges LLP, and Financial Analyst at the Yale Endowment.  Gena holds a bachelor’s degree in English Literature from Yale University and earned her J.D. from Fordham University School of Law.  She also holds a C.F.A. charter.

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