asset management

Adam S. Aderton Named Co-Chief of the Asset Management Unit

By Securities Docket on May 3, 2019, 9:47 am

The Securities and Exchange Commission today announced that Adam S. Aderton has been named Co-Chief of the Division of Enforcement’s Asset Management Unit, a national specialized unit that focuses on misconduct by investment advisers, investment companies, and private funds. He succeeds Anthony Kelly, who left the agency in November 2018. via SEC.gov | Adam S. Aderton […]

Posted in SEC, Top | Tagged asset management

SEC Co-Chief of Asset Management Unit Anthony Kelly Heads to Dechert in Washington, D.C.

By Securities Docket on December 7, 2018, 8:10 am

High-ranking government official Anthony S. Kelly, former Co-Chief of the Enforcement Division’s Asset Management Unit at the Securities and Exchange Commission (SEC), has joined the Washington, D.C. office of Dechert LLP. Drawing on his experience leading the nationwide SEC enforcement unit overseeing the asset management industry, he will focus primarily on asset management enforcement and litigation as […]

Posted in People, SEC, Top | Tagged asset management, Lawyers, Regulators

SEC’s Dabney O’Riordan Named Co-Chief of Asset Mgmt Unit | Compliance Week

By Securities Docket on June 29, 2016, 3:29 pm

Yesterday, C. Dabney O’Riordan of the SEC’s Los Angeles Regional Office was named co-chief of the Division of Enforcement’s Asset Management Unit. She fills the co-chief role left vacant when Marshall Sprung left the agency in April 2016 to join Blackstone Group LP as a managing director and the firm’s global head of compliance. via SEC’s Dabney O’Riordan […]

Posted in SEC, Top | Tagged asset management, Regulators