Kathleen Hamm

B.S., summa cum laude, State University of New York at Buffalo; J.D., with honors Duke; LL.M., first of her class, Georgetown. Professor Hamm is a Managing Director at Promontory Financial Group, LLC and 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, compliance, and risk management systems and programs, and conducting internal investigations.

Before joining Promontory, Professor Hamm was the chief regulatory and compliance officer for a new electronic trading market for security futures products (Nasdaq Liffe Markets, LLC), which was initially jointly owned by The Nasdaq Stock Market, Inc. and the London International Financial Futures and Options Exchange (LIFFE). 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 and Commodity Futures Trading Commission.

Before entering private practice, Ms. Hamm spent almost 10 years with the SEC in its Division of Enforcement. As 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.