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 represents broker-dealers and investment advisers in connection with regulatory exams and enforcement investigations.  She also counsels trade associations and their members on a variety of rulemaking issues related to the Department of Labor’s fiduciary rules, market structure, municipal advisor registration 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.  She began her career in the Securities and Exchange Commission’s Division of Trading and Markets.

Ms. Grafton is a member of the American Bar Association’s Subcommittee on Hedge Funds and FINRA’s Corporate Financing Rules, and a member and former chair of the ABA’s Subcommittee on Trading and Markets.  She also is currently a member of the Board of Advisors of the Securities and Exchange Commission Historical Society, and a member of the Association of Securities and Exchange Commission Alumni and 100 Women in Hedge Funds.  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.

Ms. Grafton is a member of the District of Columbia and the State of New York Bars.

K. Susan Grafton is associated with the following items:
Web Segment  Web Segment Current Regulatory Issues Affecting Private Funds - Hedge and Private Fund Enforcement & Regulatory Developments 2016, Friday, December 02, 2016
MP3 Audio  MP3 Audio Current Regulatory Issues Affecting Private Funds - Current Regulatory Issues Affecting Private Funds, Friday, December 02, 2016
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Current Regulatory Issues Affecting Private Funds - Current Regulatory Issues Affecting Private Funds, Friday, December 02, 2016
CHB Chapters  CHB Chapters FinCEN’s Proposed Anti-Money Laundering Regulations for Investment Advisers - Hedge and Private Fund Enforcement and Regulatory Developments 2016, Monday, December 05, 2016
Proposed Amendments to the SEC’s Order Handling Disclosure Requirements - Hedge and Private Fund Enforcement and Regulatory Developments 2016, Monday, December 05, 2016
Proposed Amendments to the SEC’s Order Handling Disclosure Requirements - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
FinCEN’s Proposed Anti-Money Laundering Regulations for Investment Advisers - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
FINRA “Capital Acquisition Broker” Rules are a Solution for Private Equity and Hedge Funds and Private Investment Banking/M&A - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program - Private Fund Regulatory Developments and Compliance Challenges 2017, Thursday, January 12, 2017
The Brave New Fiduciary World Has Arrived—The DOL Tries to Find a More Ideal Balance in the Final “Investment Advice” Rules (May 2016) - Pension Plan Investments 2017: Current Perspectives, Wednesday, May 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-Advisers (February 23, 2017) - FinTech 2017, Thursday, August 17, 2017
Building on the Blockchain: Nasdaq’s Vision of Innovation - 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
US Comptroller of the Currency Will Offer Limited Purpose National Bank Charters to Fintech Companies (December 2016) - 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, Thursday, November 30, 2017
On-Demand Web Programs  On-Demand Web Programs Hedge and Private Fund Enforcement & Regulatory Developments 2016, Monday, December 12, 2016, New York, NY
Private Fund Regulatory Developments and Compliance Challenges 2017, Tuesday, January 24, 2017, New York, NY
FinTech 2017, Wednesday, August 23, 2017, New York, NY
Course Handbooks  Course Handbooks Private Fund Regulatory Developments and Compliance Challenges 2017
FinTech 2017
Treatise Chapters  Treatise Chapters Capital Markets and Corporate Finance Activities - Broker-Dealer Regulation (2nd Edition), Friday, September 22, 2017
Live Seminar  Live Seminar Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, New York, NY
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, New York, NY
FinTech 2018, Monday, August 13, 2018, New York, NY
Live Webcast  Live Webcast Hedge and Private Fund Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, New York, NY
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, New York, NY
FinTech 2018, Monday, August 13, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, Atlanta, GA
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, Philadelphia, PA
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, New Brunswick , NJ
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, Mechanicsburg, PA
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, Indianapolis, IN
Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017, Thursday, November 30, 2017, Pittsburgh, PA
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, Nashville, TN
Private Fund Regulatory Developments and Compliance Challenges 2018, Wednesday, January 31, 2018, Cleveland, OH
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