FacultyFaculty/Author Profile

Mavis A. Kelly

U.S. Securities and Exchange Commission
Assistant Director, Office of Investment Adviser/Investment Company Examinations
Washington, DC, USA

Mavis Kelly is an Assistant Director in the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (OCIE).  She serves in OCIE’s National Exam Program Office and assists in the administration of the investment company and investment adviser examination program.  Since joining the SEC in 1992, Ms. Kelly has conducted or overseen numerous inspections of investment companies and investment advisers.  She has been directly involved in many national investment company and investment adviser risk targeted examination initiatives undertaken by OCIE.  These initiatives have focused on certain:  (1) types of firms, such as dual registrants, variable insurance product sponsors, and advisers to private funds; (2) financial services firms’ business lines or operational areas, including due diligence, distribution, marketing, and trading and execution; (3) investment products, such as hedge funds, private equity funds, BDCs, and ETFs; and (4) industry practices, including business continuity, valuation, and custody.


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