Promontory Financial Group

Promontory’s Securities Practice Group is co-chaired by Arthur Levitt, former Chairman of the Securities and Exchange Commission, and Frank Zarb, former Chairman and CEO of the NASD and The Nasdaq Stock Market. Kathleen Hamm, who served as Assistant Director in the SEC Division of Enforcement and as the Chief Regulatory and Compliance Officer for the national securities exchange Nasdaq Liffe Markets, manages the day-to-day operations of the practice. In addition, Pierre de Saint Phalle, former senior partner at Davis Polk & Wardwell and head of its Investment Management Practice, brings his asset management expertise to the practice.

In the News

» NRSRO Final Rules

Bringing Expertise to Our Clients

The Securities Practice Group handles the most complex regulatory and compliance issues and challenges facing
our diverse group of clients, which includes investment advisers, hedge funds, investment companies, broker-
dealers, exchanges and self-regulatory organizations, banks, insurance companies, and public companies.

Arthur Levitt

The Work We Do

Our professionals sort through regulatory and compliance issues quickly and develop effective and practical strategies to resolve them, leading to a high level of success and client satisfaction in the shortest time possible. We handle a variety of matters, including the following:

Frank G. Zarb

	Securities Regulatory Reviews and Assessments
	Internal Fact-Finding Investigations
	Corporate Governance and Controls Assessments
	Independent Compliance Consultants and Monitors

Kathleen M. Hamm

For more information regarding the Promontory Securities Practice Group, please contact Kathleen Hamm, Managing Director, at (202) 384-1022 or khamm@promontory.com