• SEC Regulation Outside the United States conference (5 November 2019)
  • SEC Examinations, Workshop (6 November 2019)
  • SEC Basics, Workshop (4 November 2019)

Mavis Kelly

Assistant Director, Office of Compliance, Inspections & Examinations
U.S. Securities & Exchange Commission

Mavis Kelly is an Assistant Director in the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).  She serves in OCIE’s National Exam Program Office and assists in the administration of the investment company and investment adviser examination program.  Since joining the SEC in 1992, Ms. Kelly has conducted or overseen over 500 examinations of investment companies and investment advisers.  She has been directly involved in many national risk-targeted examination initiatives that focus on a broad array of topics, such as OCIE’s initiatives focusing on retail investors and investors saving for retirement.

Mavis Kelly will be speaking at:

Regulators Panel

2019/11/05 12:00 - 12:50

Compliance, GDPR and Examinations

2019/11/05 14:00 - 15:00

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