FacultyFaculty/Author Profile

Sara Cortes

U.S. Securities and Exchange Commission
Assistant Director, Investment Adviser Regulation Office, Division of Investment Management
Washington, DC, USA

Ms. Cortes is the Assistant Director of the Investment Adviser Regulation Office in the Division of Investment Management at the SEC, where she leads policy initiatives on a variety of issues concerning the asset management industry.

Before joining the Division of Investment Management, Ms. Cortes served as Senior Advisor to the Honorable Elisse Walter.  She advised the Commissioner on a variety of enforcement actions and domestic and international regulatory initiatives.  During Ms. Walter’s tenure as Chairman, Ms. Cortes served as her Deputy on the Financial Stability Oversight Council.

Ms. Cortes has also served in the SEC’s Office of the General Counsel, where she advised the SEC’s Enforcement Division on potential actions against broker-dealers, investment advisers, and other market participants.

Prior to joining the SEC, Ms. Cortes Counsel in the Legal Division of the Board of Governors of the Federal Reserve System.  Ms. Cortes began her career in private practice specializing in securities regulation.


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