FacultyFaculty/Author Profile
Kathleen M. Hamm

Kathleen M. Hamm

Promontory Financial Group. LLC
Managing Director
Washington, DC, USA


Kathleen M. Hamm
Managing Director

Kathleen heads the firm’s securities practice group, where she specializes in securities, derivatives, and corporate regulatory, compliance, and enforcement matters. As a former senior regulatory official at the Securities and Exchange Commission, she helps clients navigate the regulatory, compliance, and risk-management challenges confronting broker-dealers, investment advisers, credit rating agencies, national securities exchanges, and other entities regulated by the SEC and securities regulators globally. Representative engagements include:

Experience

Since joining Promontory, Kathleen has advised broker-dealers, investment advisers, futures commission merchants, mutual fund complexes, credit rating agencies, national securities exchanges, and designated contract markets on regulatory, surveillance, compliance, and risk management issues. Before joining Promontory, Kathleen was the chief regulatory and compliance officer for an electronic trading market for security futures products, which was initially jointly owned by the Nasdaq Stock Market Inc. and the London International Financial Futures and Options Exchange. There, she successfully designed, implemented, and managed all aspects of regulatory, compliance, and corporate policies and programs for the exchange, under the joint regulation of the SEC and the Commodity Futures Trading Commission. Before entering the private sector, Kathleen spent almost a decade with the SEC in its division of enforcement where, as an assistant director, she managed and coordinated all aspects of three enforcement branches that investigated potential violations of the federal securities laws. The matters investigated included broker-dealer and investment adviser misconduct, market manipulation, municipal securities matters, insider trading, financial and accounting fraud, auditor independence, breaches of fiduciary duty, and conflicts of interest.

Education

  • LL.M., securities regulation, with distinction, Georgetown University Law Center. Recipient, Thomas Bradbury Chetwood, S.J., Prize, for graduating first in class.
  • J.D., with honors, Duke University School of Law
  • B.S., summa cum laude, School of Management, State University of New York at Buffalo

Affiliations, Awards, and Civic Engagements

  • Board director, National Stock Exchange, Inc.; member of the executive committee and chair of the regulatory oversight committee
  • Member and chair of the nominating committee, board of visitors, Duke University School of Law
  • Member, District of Columbia Bar
  • Member, State Bar of California (inactive)
  • Member, State Bar of Arizona (inactive)
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