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  • SEC Regulation Think-In 2020 - 15 and 16 September 2020

William H. Hinman was named Director of the Division of Corporation Finance in May 2017. The Division seeks to ensure that investors are provided with material information in order to make informed investment decisions, provides interpretive assistance to companies with respect to SEC rules, and makes recommendations to the Commission regarding new and existing rules.

Before serving at the Commission, Mr. Hinman was a partner in the Silicon Valley office of Simpson Thacher & Bartlett LLP, where he practiced in the corporate finance group. He has advised issuers and underwriters in capital raising transactions and corporate acquisitions in a wide range of industries, including technology, e-commerce, and the life-sciences.

Prior to joining Simpson Thacher in 2000, Mr. Hinman was the managing partner of Shearman & Sterling’s San Francisco and Menlo Park offices. He received his B.A. from Michigan State University with honors in 1977 and his J.D. in 1980 from Cornell University Law School, where he was a member of the Editorial Board of the Cornell Law Review. He is a member of the Bar Association of the State of California and the Association of the Bar of the City of New York. Mr. Hinman also is a fellow of the American Bar Foundation.

Jennifer is Branch Chief at the Division of Investment Management – Private Funds Branch,  The Private Funds Branch of the Investment Adviser Regulation Office focuses on regulations affecting private funds, including hedge funds, private equity funds, and venture capital funds, and their advisers. The group provides policy recommendations to the Commission and interpretive guidance to internal constituents and external industry participants.  Prior to joining the SEC, she was an associate at K&L Gates LLP and Seward & Kissel LLP where she advised clients on the structuring, formation, and private offering requirements of private funds and provided counsel to investment advisers in regulatory and compliance matters.  Ms. Songer received a J.D. from Boston College Law School and a B.A. from the University of Pennsylvania.

Natasha is responsible for leading the Washington, DC-based investment adviser and investment company examination office at the U.S. Securities & Exchange Commission. This new position was created to oversee and direct the work of the approximately 40 lawyers, accountants, and examiners whose primary responsibility is to conduct examinations of offshore SEC registrants and support National Examination Program initiatives throughout the country.

Ms. Greiner has served in various roles at the SEC for the past 18 years, including recently as Acting Chief Counsel and Assistant Chief Counsel in the Division of Trading and Markets where she provided legal and policy advice to the Commission on rules affecting market participants and the operation of the securities markets. Prior to joining the Division of Trading and Markets, Ms. Greiner spent almost a decade in the SEC’s Division of Enforcement, including in its Asset Management Unit, where she investigated possible violations of the federal securities laws and litigated civil enforcement proceedings in federal district court and administrative proceedings. Ms. Greiner began her career at the SEC in OCIE where she conducted examinations of broker-dealers.

Natasha earned her J.D. from The Catholic University of America, Columbus School of Law. She graduated cum laude with a Bachelor of Science degree from James Madison University.

Dorothy D. DeWitt is the Director of the Division of Market Oversight (DMO) at the U.S. Commodity Futures Trading Commission.  In her role, she is responsible for the oversight of derivatives platforms and swap data repositories, and the CFTC’s market intelligence initiatives.

Ms. DeWitt joined the CFTC from Coinbase, a cryptocurrency company, where she served as Vice President and General Counsel for Business Lines and Markets.  She previously served in senior legal and compliance roles for Citadel Securities, a broker-dealer and swaps dealer provisionally-registered with the CFTC, and S&P Global, and as an attorney at Davis Polk & Wardwell.

Ms. DeWitt spent nearly a decade in an investment capacity as a portfolio manager of alternative investment funds that relied heavily on derivatives and swaps.  At Cadogan Management, Ms. DeWitt served as a partner and portfolio manager who co-led the investment group, before transitioning to become general counsel.  Prior to that, she served at GAM in London, a global fund of hedge funds, as the portfolio manager for the GAM Multi-Arbitrage Fund, managing arbitrage, credit, event-driven, and fixed income investments.  Before that, she served as a research analyst at a merger arbitrage and event-driven hedge fund at ING Furman Selz.

Lillian Brown is a partner in the Transactional and Securities Departments and a member of the Corporate Practice Group. Ms. Brown advises clients, including public companies and their boards, on federal securities law compliance and corporate governance matters. She has extensive experience in SEC reporting and disclosure requirements, shareholder proposal and proxy matters, the federal securities laws relevant to control-related transactions, and shareholder activism and engagement. Ms. Brown regularly works with a diverse range of companies, from Fortune 500 to private companies, spanning multiple industries including financial services and FinTech, technology, entertainment, consumer products, security, biotechnology and retail. Prior to joining the firm in 2013, Ms. Brown spent nearly 14 years at the Securities and Exchange Commission (SEC) in the Division of Corporation Finance. In her time at the SEC, among other roles, Ms. Brown served as Senior Special Counsel to the Director of the Division of Corporation Finance and Special Counsel in the Office of Mergers and Acquisitions.

Professional Activities and Community Involvement

Ms. Brown serves as Chair of the American Bar Association’s Federal Regulation of Securities Committee Subcommittee on Proxy Statements and Business Combinations. She is also a member of the NASDAQ Hearings Panel and the Society of Corporate Secretaries and Governance Professionals, and is an Advisory Board member for the Securities Regulation Institute. Ms. Brown previously served as an elected member on the DC Bar’s Corporation, Finance and Securities Law Steering Committee from 2014–2017. Ms. Brown is Chair of the Capitol Hill Day School Board of Trustees.

Brett Redfearn was named the U.S. Securities and Exchange Commission’s Director of the Division of Trading and Markets in October 2017.

Mr. Redfearn joins the SEC from J.P. Morgan, where he was Global Head of Market Structure for the Corporate and Investment Bank.

Mr. Redfearn has a long history in the U.S. equity markets, having worked with investors, exchanges and broker-dealers. During his career, he has focused on how technology, regulation and business trends are changing trading patterns across asset classes and geographic regions. He has helped build electronic trading products, worked closely with exchanges and other trading venues as these products evolved, and engaged with global asset managers on major regulatory developments. He has also been a frequent contributor at policy forums surrounding U.S. equity markets, and has been an active participant at several meetings of the SEC’s Equity Market Structure Advisory Committee.

He has served as Chairman of SIFMA’s Equity Markets and Trading Committee and was a participant on the Security Traders Association (STA) Market Structure Analysts Committee and the Canadian STA (CSTA’s) Trading Issues Committee. Previously, Mr. Redfearn has served on the boards of Bats Global Markets, BATS Exchange, the National Organization of Investment Professionals, the Chicago Stock Exchange, and BIDS Trading.

Mr. Redfearn earned his M.A. in political science from the New School for Social Research and his B.A. from the Evergreen State College in Olympia, Washington

NATHAN GREENE is a partner in the Investment Funds practice. He has extensive experience advising on the regulatory aspects of fund and investment advisory operations, and also counsels funds and financial institutions on regulatory considerations around emerging technologies like blockchain, big data and artificial intelligence. His practice includes the formation and representation of U.S. and foreign investment companies, sponsors, advisers and directors, including SEC registration, exemptions, inspections and investigations; fund formation, distribution and marketing; fund board and governance matters; compliance manuals and testing; and high-profile corporate transactions involving asset management businesses. He is particularly well-known for his representation of prominent industry participants in the registered alternatives market and has notable experience representing major players in M&A deals that have a registered fund component.

Nathan has lectured on funds regulation at prominent New York-area law schools. He is regularly quoted in prominent publications and news services, including BoardIQBloombergFund Board ViewsHedge Fund Law ReportReuters and The Wall Street Journal. Nathan is in demand as a speaker, including on issues relating to big data, blockchain and artificial intelligence.

Nathan has been recognized by Chambers USA in Investment Funds: Registered Funds (2017–2018). Clients commented in the 2018 edition that “he knows the regulations inside out,” adding that “he is adept at taking complex concepts and being able to communicate them; he’s creative in finding solutions.” In the 2017 edition, clients said he is “the expert on the Investment Company Act” and “an extremely savvy lawyer who understands the complex intertwining of the business and regulatory worlds better than most.” He has also been recognized as a “Financial & Corporate Rising Star” in Investment Funds in IFLR1000 (2018) and a “Leading Individual” in Private Funds: Regulatory by Who’s Who Legal (2017). Nathan has received the prestigious “BTI Client Service All-Star” Award for outstanding client service (2015) and the Burton Award for distinguished legal writing (2013).

Dalia Osman Blass was named the U.S. Securities and Exchange Commission’s Director of the Division of Investment Management in September 2017.

Ms. Blass previously served in a number of leadership roles in the Division of Investment Management. Ms. Blass returned to the SEC as Director of the Division of Investment Management in September, 2017 from private practice, where she advised on a broad range of investment fund, private equity, and regulatory matters. Earlier in her career, Ms. Blass practiced corporate law in New York and London.

Ms. Blass earned a J.D. from Columbia University School of Law. She received her B.A in international studies from the American University and studied political science at the American University in Cairo.

Alex is the head of Simmons & Simmons Technology, Media and Telecommunications (TMT) sector and a specialist in technology transactions as well as data compliance and commercialisation.

He is a partner in the Information, Communications & Technology (ICT) Group in London. He’s an expert in advising users and suppliers of technology products and services. He is also a leading expert on data protection and privacy and he guided a large number of clients through their GDPR implementation projects.

His experience on technology and outsourcing transactions includes handling large scale, complex outsourcings, software development, licensing and maintenance, telecoms equipment and services contracts and contracts for cloud services.

Alexander is adept at making the complex simple and finding practical solutions to legal rules and problems.

Since joining Simmons & Simmons in 1997, Alexander has been on secondments to clients such as Virgin Media and O2. He became a partner in 2007 and was appointed as TMT Sector Head in 2015.