The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government,created in the aftermath of the Wall Street Crash of 1929. Its primary purpose is to enforce laws against market manipulation.
Charlene Barshefsky is an American lawyer. She served as United States Trade Representative from 1997 to 2001. She was the Deputy U.S. Trade Representative from 1993 to 1997. She is a partner at the law firm of Wilmer Cutler Pickering Hale and Dorr. She is also an advisor at Moelis &Company and a participant of the Task Force on U.S.-China Policy convened by the Asia Society's Center on US-China Relations.
Clayland Boyden Gray was an American lawyer and diplomat who served as White House Counsel from 1981 to 1993 and as U.S. Ambassador to the European Union from 2006 to 2007. He was a founding partner of the Washington,D.C.–based law firm Boyden Gray &Associates LLP.
Robert Michael Kimmitt was United States Deputy Secretary of the Treasury under President George W. Bush. He was nominated by President Bush on June 29,2005. The United States Senate unanimously confirmed him on July 29,2005,and he was sworn into office on August 16,2005. Kimmitt served through the end of the Bush administration,leaving office on January 20,2009.
Wilmer Cutler Pickering Hale and Dorr LLP,also known as Hale &Dorr and WilmerHale,is an American multinational law firm with offices in the United States,Europe,and Asia. Co-headquartered in Washington,D.C.,and Boston,it was formed in 2004 through the merger of the Boston-based firm Hale and Dorr and the D.C.-based firm Wilmer Cutler &Pickering. It employs more than 1,000 attorneys worldwide.
Thomas Lee Strickland is an American lawyer who was formerly chief of staff to Interior Secretary Ken Salazar and Assistant Secretary for Fish and Wildlife and Parks in the Interior Department. Strickland served as United States Attorney for Colorado and was the Democratic nominee for U.S. Senate for Colorado in 1996 and 2002. He joined WilmerHale as a partner in September,2011.
Joseph Grundfest is an American academic. He is the William A. Franke Professor of Law and Business at Stanford Law School and co-director of the Rock Center on Corporate Governance at Stanford University. He joined Stanford's faculty in 1990 after having served for more than four years as a Commissioner of the United States Securities and Exchange Commission,a position to which he was appointed by President Ronald Reagan.
Roberto Dañino is a Peruvian lawyer who was a former Prime Minister of Peru. He was also the Peruvian Ambassador to the United States and the Senior Vice President and General Counsel of The World Bank. He has practiced corporate law for several decades and was the Chairman of the Latin American practice of leading law firms in the United States and Perú. He has also served on the boards of various corporations and nonprofit organizations in Peru,the United States,Canada,South Africa,Spain,and the United Kingdom. Currently,he is a member of various corporate boards and philanthropic entities in Peru and the USA. He is also a member of the international advisory boards of Goldman Sachs,NTT Data,Albright Stonebridge Group and Inversiones Centenario. He was awarded the Order of the Sun of Peru in 2003,which is the highest honor bestowed on a Peruvian citizen.
The National Association of Corporate Directors (NACD) is an independent,not-for-profit,section 501(c)(3) founded in 1977 and headquartered in Arlington,Virginia. NACD's membership includes more than 1,750 corporate boards as well as several thousand individual members,for a total of more than 24,000 members. Membership is open to individual board members and corporate boards of public,private,and nonprofit organizations from both the United States and overseas.
Annette LaPorte Nazareth is an American attorney who served as a Commissioner of the U.S. Securities and Exchange Commission from August 4,2005 to January 31,2008. She is currently a partner at Davis Polk &Wardwell,where she works on regulatory matters and transactions in the firm's Washington,D.C. office. In 2021,she was appointed as Co-Chair of the Integrity Council for the Voluntary Carbon Market.
Paul S. Atkins is CEO of Patomak Global Partners LLC,which provides consulting services regarding financial services industry matters,including regulatory compliance,risk and crisis management,public affairs,independent reviews,litigation support,and strategy. He also serves as an independent director and non-executive chairman of the board of BATS Global Markets,Inc.,a leading operator of electronic U.S. and European securities markets trading listed cash equity securities and equity options.
Luis Alberto Aguilar is an American lawyer and former U.S. government official.
Andrew Neill Vollmer is an American lawyer. He retired as partner in the securities department at law firm WilmerHale. Prior to April 2009,he had been Deputy General Counsel for the United States Securities and Exchange Commission (SEC) and acting General Counsel. He succeeded Meyer Eisenberg as Deputy General Counsel,who retired from the Commission in early January 2006 and former General Counsel Brian Cartwright who left the Commission for the private sector in January 2009.
Kara Marlene Stein is an American attorney who currently serves as a board member of the Public Company Accounting Oversight Board,known as PCAOB. She was sworn in on November 18,2021,and her current term is scheduled to end on October 24,2026.
Cindy Fornelli is an American business leader,former securities lawyer,and a graduate of Purdue University and The George Washington University Law School.
Fund governance refers to a system of checks and balances and work performed by the governing body (board) of an investment fund to ensure that the fund is operated not only in accordance with law,but also in the best interests of the fund and its investors. The objective of fund governance is to uphold the regulatory principles commonly known as the four pillars of investor protection that are typically promulgated through the investment fund regulation applicable in the jurisdiction of the fund. These principles vary by jurisdiction and in the US,the 1940 Act generally ensure that:(i) The investment fund will be managed in accordance with the fund's investment objectives,(ii) The assets of the investment fund will be kept safe,(iii) When investors redeem they will get their pro rata share of the investment fund's assets,(iv) The investment fund will be managed for the benefit of the fund's shareholders and not its service providers.
Stephanie Avakian is an American lawyer,regulator and white collar criminal defense specialist appointed on June 8,2017 to co-head the U.S. Securities and Exchange Commission (SEC) Division of Enforcement,a title she shared with Steven Peikin. As of 2023 she had moved into private practice,working for WilmerHale.
Hester Maria Peirce is an American lawyer who serves as a Commissioner on the Securities and Exchange Commission (SEC). She previously served as the director of the Financial Markets Working Group at George Mason University's Mercatus Center. Peirce was confirmed by the United States Senate in December 2017 to fill a Republican vacancy on the SEC. She was sworn in on January 11,2018,for a term ending in 2020,and her second term expires in 2025. Peirce is a former staff member of the United States Senate Committee on Banking,Housing,and Urban Affairs and of the SEC. In 2016,she was nominated by President Barack Obama for Commissioner on the SEC,but the United States Senate did not act on her nomination.
Aaron Mortimer Zebley is an American attorney and former FBI special agent who was the deputy special counsel of the Special Counsel investigation headed by Robert Mueller. He was the former chief of staff to Mueller at the FBI. Zebley followed Mueller from the Federal Bureau of Investigation to the law firm WilmerHale and also subsequently left when Mueller resigned to become the special counsel,along with James L. Quarles.
Luciana "Lucy" Fato is an American corporate attorney. She has been general counsel at AIG since October 2017.
