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Hedge Fund Compliance & Regulatory Challenges 2014

 
Author(s): K. Susan Grafton
Practice Area: Corporate & Securities
Published: Jan 2014
PLI Item #: 50974
CHB Spine #: B2072

K. Susan Grafton is a partner in the Washington, DC and New York offices of Dechert LLP where she focuses her practice on advising broker-dealers, hedge fund managers and other investment advisers on their business, regulatory, and compliance issues.  Ms. Grafton represents broker-dealers and investment advisers in connection with regulatory exams and enforcement investigations.  She also counsels trade associations and their members on a variety of rulemaking issues related to the Department of Labor’s fiduciary rules, market structure, municipal advisor registration and other legal and regulatory developments.

Previously, Ms. Grafton was Vice President and Associate General Counsel at Goldman, Sachs & Co., where she advised the Securities Division on a variety of sales and trading issues.  She began her career in the Securities and Exchange Commission’s Division of Trading and Markets.

Ms. Grafton is a member of the American Bar Association’s Subcommittee on Hedge Funds and FINRA’s Corporate Financing Rules, and a member and former chair of the ABA’s Subcommittee on Trading and Markets.  She also is currently a member of the Board of Advisors of the Securities and Exchange Commission Historical Society, and a member of the Association of Securities and Exchange Commission Alumni and 100 Women in Hedge Funds.  Ms. Grafton received her LL.M. in Securities Regulation from Georgetown University Law Center and her J.D. from The Catholic University of America’s Columbus School of Law.

Ms. Grafton is a member of the District of Columbia and the State of New York Bars.