ACGSF SEC Fireside Chat PE Firm Update 2021

Kristin Snyder is Deputy Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE) as well as OCIE’s National Associate Director of the Investment Adviser/Investment Company Examination Program.  Ms. Snyder also serves as the Associate Regional Director for Examinations in the SEC’s San Francisco Regional Office, where she leads the examinations program.  Ms. Snyder has worked at the SEC for more than fifteen years, and previously served as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program.  Prior to joining the SEC staff, Ms. Snyder practiced with Sidley Austin Brown & Wood LLP in San Francisco.   She earned her law degree from the University of California Hastings College of the Law, and received her bachelor’s degree from the University of California at Davis.

Hardy Callcott’s practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, mutual funds and others in the financial services industry. He provides securities enforcement defense before the SEC, Department of Justice, FINRA and other SRO and state regulators for members of financial services industry, public companies and officers and directors. He also conducts internal investigations.

Hardy is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for “Financial Services Regulation Firm of the Year” and 2020 Chambers USA Band 1 for Financial Services Regulation: Broker Dealer (Compliance & Enforcement). Sidley was also named the “Law Firm of the Year” for Securities Regulation in 2020 and 2017 by U.S. News – Best Lawyers. Hardy was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008–2021, including the highest category, Band 1, in both Broker Dealer (Compliance) in 2020 and Broker Dealer (Enforcement) in 2020 and 2021. He was also included in The Best Lawyers in America 2007–2012 and 2014–2016 lists, chosen based on peer-reviewed surveys of U.S. lawyers. He was with Charles Schwab & Co. Inc., as senior vice president and general counsel. He served in the General Counsel’s Office of the SEC as assistant general counsel for Market Regulation (now Trading and Markets), and taught in the Securities LLM program at Georgetown University Law Center. After law school, Hardy clerked for the Hon. Mariana Pfaelzer in the U.S. District Court for the Central District of California.

Jon Waterman is RSM’s national asset management practice leader and works exclusively with clients in the financial services industry, with particular expertise in meeting the needs of BDCs, investment partnerships, private equity funds, SBICs, registered investment advisors and regulated investment companies. Jon serves as both an audit lead partner and engagement quality review partner, as well as a SEC specialist on public registrants for clients of RSM.  Over the course of his career, he has been involved with both initial public and secondary offerings, worked extensively with various securities counsel and underwriters and been a frequent speaker and author on a host of topics in the financial services arena.