Ms. Hamm heads the firm’s Securities Practice Group where she specializes in securities, derivatives, and corporate regulatory, compliance, and enforcement issues. She has extensive experience designing, evaluating, and managing regulatory, surveillance, and compliance systems and programs, conducting internal investigations, and providing regulatory analysis and advice on new technology and strategic relationships.

Before joining Promontory, she was the chief regulatory and compliance officer for a new electronic trading market for security futures products (Nasdaq Liffe Markets, LLC). There she successfully designed, implemented, and managed all aspects of regulatory, compliance, and corporate policies and programs for the exchange , under the joint regulation of the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission. Before entering private practice, Ms. Hamm spent almost 10 years with the SEC in its Division of Enforcement. As an Assistant Director in the SEC Division of Enforcement, she managed and coordinated all aspects of three enforcement branches that investigated potential violations of the federal securities laws. These matters included: broker-dealer and investment adviser misconduct, financial and accounting fraud, auditor independence, breaches of fiduciary duty and conflicts of interest, insider trading, market manipulation, and municipal securities matters.

Ms. Hamm graduated first in her class from the Georgetown University Law Center with a Master of Laws in securities regulation and she currently teaches a graduate course at the law center on “Corporate Controls, Compliance, and Governance.” She earned her law degree with honors from Duke University Law School, where she serves on its Board of Visitors. She received her undergraduate degree summa cum laude in Business Administration and Accounting from the State University of New York at Buffalo.