Senior Director, Capital Markets Policy For The Americas
CurrentInvestor Advocacy Leadership • Represent CFA Institute in meetings with SEC commissioners and senior staff of the Commission, FINRA, and House Financial Services and Senate Banking committees• Co-leader, 2022 CFA Institute strategic research project on crypto assets, cryptocurrencies, and central bank digital currencies• Co-leader, CFA Institute Working Group on SPACs, May 2021-present• Staff liaison to CFA Institute’s Capital Markets Policy Council • Chair, Markets Advisory Council, the Council of Institutional Investors (CII)Recent Presentations and Publications• Testified before the House Financial Services Subcommittee on Investor Protection, Entrepreneurship and Capital Markets on Going Public: SPACs, Direct Listings, Public Offerings, and the Need for Investor Protections, May 24, 2021• Wrote comment letters to the SEC, FINRA and the Financial Stability Board on investor issues, including the accredited investor definition, money market reforms, exemptive offerings, short interest disclosures, 13f disclosures, rethinking the disclosure framework for mutual funds and ETFs, etc.• Moderated panel on SPACs at CII Spring Conference, March 8, 2022• Closing Speaker, Conference on Financial Regulation, co-hosted by the SEC, May 14, 2021• Speaker on public webcast of the Atlanta CFA Society, Nov. 17, 2021• Published in Barron’s and on Nasdaq.com
