FacultyFaculty/Author Profile
K. Susan Grafton

K. Susan Grafton

Dechert LLP

Washington, DC, USA


K. Susan Grafton is a partner in the Washington, DC and New York offices of Dechert LLP where she focuses her practice on advising broker-dealers, hedge fund managers and other investment advisers on their business, regulatory, and compliance issues.  Ms. Grafton also represents clients in connection with regulatory exams and enforcement investigations. She counsels trade associations and their members on a variety of rulemaking issues related to the Department of Labor’s fiduciary rules, the uniform standard of conduct, conflicts between MiFID II and U.S. securities laws, equity and debt market structure, and other legal and regulatory developments.

Previously, Ms. Grafton was Vice President and Associate General Counsel at Goldman, Sachs & Co., where she advised the Securities Division on a variety of sales and trading issues, including soft dollars. She began her career in the Securities and Exchange Commission’s (SEC’s) Division of Trading and Markets.

Ms. Grafton is a member and former chair of the American Bar Association’s Subcommittee on Trading and Markets and a member of the FINRA and Hedge Funds Subcommittees. She also is a member of the Board of Advisors of the SEC Historical Society. 

Ms. Grafton received her LL.M. in Securities Regulation from Georgetown University Law Center and her J.D. from The Catholic University of America’s Columbus School of Law.  

She is a member of the District of Columbia and New York bars.
K. Susan Grafton is associated with the following items:
Course Handbooks  Course Handbooks FinTech 2017
Private Fund Regulatory Developments and Compliance Challenges 2018
CHB Chapters  CHB Chapters US Comptroller of the Currency Will Offer Limited Purpose National Bank Charters to Fintech Companies (December 2016) - FinTech 2017, Thursday, August 17, 2017
SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers (February 23, 2017) - FinTech 2017, Thursday, August 17, 2017
Distributed Ledger Technology: Implications of Blockchain for the Securities Industry (January 2017) - FinTech 2017, Thursday, August 17, 2017
SEC Staff Issues Guidance Update and Investor Bulletin on “Robo-Advisors” (March 2017) - FinTech 2017, Thursday, August 17, 2017
Building on the Blockchain: Nasdaq’s Vision of Innovation - FinTech 2017, Thursday, August 17, 2017
K. Susan Grafton and Linda J. Muzere, Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program (September 29, 2017) - Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Friday, December 01, 2017
Constructing an Effective Compliance Program for Private Fund Advisers (November 22, 2017) - Private Fund Regulatory Developments and Compliance Challenges 2018, Thursday, February 01, 2018
On-Demand Web Programs  On-Demand Web Programs FinTech 2017, Wednesday, August 23, 2017, New York, NY
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, December 07, 2017, New York, NY
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, February 07, 2018, New York, NY
Web Segment  Web Segment SEC Inspections and Examinations of Private Hedge and Equity Funds - Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Tuesday, December 05, 2017
MP3 Audio  MP3 Audio SEC Inspections and Examinations of Private Hedge and Equity Funds - SEC Inspections and Examinations of Private Hedge and Equity Funds, Tuesday, December 05, 2017
Transcripts  Transcripts SEC Inspections and Examinations of Private Hedge and Equity Funds - SEC Inspections and Examinations of Private Hedge and Equity Funds, Tuesday, December 05, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg SEC Inspections and Examinations of Private Hedge and Equity Funds - SEC Inspections and Examinations of Private Hedge and Equity Funds, Tuesday, December 05, 2017
Treatise Chapters  Treatise Chapters Capital Markets and Corporate Finance Activities - Broker-Dealer Regulation (Second Edition), Tuesday, May 22, 2018
Live Seminar  Live Seminar FinTech 2018, Monday, August 13, 2018, New York, NY
Live Webcast  Live Webcast FinTech 2018, Monday, August 13, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web FinTech 2018, Monday, August 13, 2018, Philadelphia, PA
FinTech 2018, Monday, August 13, 2018, Pittsburgh, PA
FinTech 2018, Monday, August 13, 2018, Mechanicsburg, PA
FinTech 2018, Monday, August 13, 2018, Atlanta, GA
FinTech 2018, Monday, August 13, 2018, Indianapolis, IN
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