Kathleen M Hamm

Since joining Promontory, Kathleen has advised investment advisers, mutual fund complexes, broker-dealers, future commission merchants, national securities exchanges, credit rating agencies, 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.