Anthony Kelly leaves SEC
08 November 2018 Washington DC
Image: Shutterstock
Anthony Kelly, co-chief of the enforcement division’s asset management unit at The Securities and Exchange Commission (SEC) will be leaving the agency this November after more than 18 years of service.
Co-chief C. Dabney O’Riordan will continue to lead the unit following Kelly’s departure.
The asset management unit is the division’s largest specialised unit and focuses on misconduct by investment advisers and service providers to mutual funds, exchange-traded funds, retail client accounts, hedge funds, and private equity funds.
Kelly joined the division of enforcement in 2004 and joined the asset management unit at its inception in 2010.
He was promoted to assistant director in the asset management unit in August 2012, and to co-chief in March 2016.
As co-head of the unit for the past two and a half years, Kelly led a nationwide staff of attorneys, industry experts, and other professionals responsible for conducting investigations across the asset management industry.
He also coordinated with senior leadership in other SEC divisions and offices on priorities, emerging risks, and rulemakings.
Stephanie Avakian, co-director of the SEC’s division of enforcement, commented: “Anthony Kelly has shown himself to be a consummate leader and mentor within the division. Through his thoughtfulness and fairness on matters within the fund industry, he exemplifies the best of the Division. We will truly miss him.”
Steven Peikin, co-director of the SEC’s division of enforcement, said: “As co-chief of the division’s asset management unit, Anthony Kelly has spearheaded significant initiatives that protected investors and impacted the behaviour of asset managers and investment advisers.”
Commenting on his departure, Kelly said, “It has been such an honour to serve as co-chief of the asset management unit and work alongside so many smart, energetic, and talented colleagues who are dedicated to protecting investors across the asset management industry.”
Co-chief C. Dabney O’Riordan will continue to lead the unit following Kelly’s departure.
The asset management unit is the division’s largest specialised unit and focuses on misconduct by investment advisers and service providers to mutual funds, exchange-traded funds, retail client accounts, hedge funds, and private equity funds.
Kelly joined the division of enforcement in 2004 and joined the asset management unit at its inception in 2010.
He was promoted to assistant director in the asset management unit in August 2012, and to co-chief in March 2016.
As co-head of the unit for the past two and a half years, Kelly led a nationwide staff of attorneys, industry experts, and other professionals responsible for conducting investigations across the asset management industry.
He also coordinated with senior leadership in other SEC divisions and offices on priorities, emerging risks, and rulemakings.
Stephanie Avakian, co-director of the SEC’s division of enforcement, commented: “Anthony Kelly has shown himself to be a consummate leader and mentor within the division. Through his thoughtfulness and fairness on matters within the fund industry, he exemplifies the best of the Division. We will truly miss him.”
Steven Peikin, co-director of the SEC’s division of enforcement, said: “As co-chief of the division’s asset management unit, Anthony Kelly has spearheaded significant initiatives that protected investors and impacted the behaviour of asset managers and investment advisers.”
Commenting on his departure, Kelly said, “It has been such an honour to serve as co-chief of the asset management unit and work alongside so many smart, energetic, and talented colleagues who are dedicated to protecting investors across the asset management industry.”
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