The Securities and Exchange Commission (SEC) has appointed C. Dabney O’Riordan as the new co-chief of the Division of Enforcement’s Asset Management Unit, replacing Marshall Sprung who departed from the agency in April 2016.
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O’Riordan will join Anthony Kelly as co-chief of the asset management unit, which focuses on misconduct by investment advisers, investment companies, and private funds.
She currently holds the position of an associate regional director in SEC’s Los Angeles regional office, which she joined in 2005 as a staff attorney in the division of enforcement. She joined the asset management unit since its creation in 2010.
She was also a counsel to the director of the Division of Enforcement, and served as the unit’s assistant director in 2012.
Prior to her spell at SEC, O’Riordan was a litigation associate for over four years at Munger, Tolles & Olson in Los Angeles.
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By GlobalDataShe also served as a law clerk to the Honorable David Thompson on the US Court of Appeals for the Ninth Circuit.
SEC Enforcement Division director Andrew Ceresney said: "Dabney’s excellent judgment, deep knowledge of the laws and rules governing the asset management industry, and strong leadership skills position her perfectly to co-lead the nationwide Asset Management Unit.
"I am confident that she and her co-chief, Anthony, will be great partners in the unit’s mission and the SEC’s efforts to root out misconduct in the asset management industry."
