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:
CHB Chapters  CHB Chapters 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
Bitcoin Futures Trading Commences; Implications for Funds and Registered CPOs and CTAs (December 2017) - FinTech 2018, Monday, August 13, 2018
Irish Government Releases Paper on Virtual Currencies and Blockchain Technology (April 2018) - FinTech 2018, Monday, August 13, 2018
FCA Publishes Statement on Cryptocurrency Derivatives (May 2018) - FinTech 2018, Monday, August 13, 2018
SEC Chairman Issues Major Statement on Cryptocurrency and ICOs (December 2017) - FinTech 2018, Monday, August 13, 2018
SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets (March 2018) - FinTech 2018, Monday, August 13, 2018
SEC Softening Stance on Cryptocurrency? (May 2018) - FinTech 2018, Monday, August 13, 2018
A CFTC Primer on Virtual Currencies (October 17, 2017) - FinTech 2018, Monday, August 13, 2018
OFAC Releases Guidance on Cryptocurrency (April 2018) - FinTech 2018, Monday, August 13, 2018
SEC Staff Seeks Industry Engagement on Questions Regarding Development of Funds Holding Cryptocurrency-Related Products (January 2018) - FinTech 2018, Monday, August 13, 2018
CFTC Staff Aligns with SEC Position on Initial Coin Offerings: Tokens May Be Commodities (October 2017) - FinTech 2018, Monday, August 13, 2018
The European Commission Action Plan for FinTech Includes Blockchain Priorities (March 2018) - FinTech 2018, Monday, August 13, 2018
NASAA Announces Results of “Operation Cryptosweep,” Praised by SEC Chairman (May 2018) - FinTech 2018, Monday, August 13, 2018
Federal Court Ruling Recognizes CFTC Jurisdiction over Cryptocurrencies as Commodities (March 2018) - FinTech 2018, Monday, August 13, 2018
The Securities Exchange Commission’s Section 21(a) Report on “The DAO”: Are Virtual Tokens or Currency Securities? (August 16, 2017) - FinTech 2018, Monday, August 13, 2018
FinCEN Warns That Virtual Currency Activities Are Subject to Anti-Money Laundering Obligations (April 2018) - FinTech 2018, Monday, August 13, 2018
House Financial Services Committee Holds Hearing to Discuss Cryptocurrencies, ICOs (March 2018) - FinTech 2018, Monday, August 13, 2018
Employers: Are You Ready for a Cyberwar? Attackers Using Ransomware Are Saying Show Me Your Bitcoin! (May 2017) - FinTech 2018, Monday, August 13, 2018
Wyoming Passes Law Creating New Asset Class for Cryptocurrencies (March 2018) - FinTech 2018, Monday, August 13, 2018
U.S. v. Coinbase: Virtual Currency Holders Not Outside the IRS’s Reach (December 2017) - FinTech 2018, Monday, August 13, 2018
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
BlockChain and Cryptocurrencies – The Global Regulatory Landscape - FinTech 2018, Tuesday, August 14, 2018
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
BlockChain and Cryptocurrencies – The Global Regulatory Landscape - BlockChain and Cryptocurrencies – The Global Regulatory Landscape, Tuesday, August 14, 2018
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
BlockChain and Cryptocurrencies – The Global Regulatory Landscape - BlockChain and Cryptocurrencies – The Global Regulatory Landscape, Tuesday, August 14, 2018
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
BlockChain and Cryptocurrencies – The Global Regulatory Landscape - BlockChain and Cryptocurrencies – The Global Regulatory Landscape, Tuesday, August 14, 2018
On-Demand Web Programs  On-Demand Web Programs 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
FinTech 2018, Monday, August 20, 2018, New York, NY
Course Handbooks  Course Handbooks Private Fund Regulatory Developments and Compliance Challenges 2018
FinTech 2018
Treatise Chapters  Treatise Chapters Capital Markets and Corporate Finance Activities - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Live Webcast Briefing  Live Webcast Briefing Shedding Light on Dark Pools -- The SEC Acts to Increase Transparency and Oversight of Alternative Trading Systems, Thursday, October 25, 2018
Live Seminar  Live Seminar Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
FinTech 2019, Monday, August 12, 2019, New York, NY
Live Webcast  Live Webcast Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, New York, NY
FinTech 2019, Monday, August 12, 2019, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Philadelphia, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Nashville, TN
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Pittsburgh, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Mechanicsburg, PA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Boston, MA
Private Fund Regulatory Developments and Compliance Challenges 2019, Thursday, January 31, 2019, Indianapolis, IN
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