Susan Mathews, former Senior Counsel in SEC’s Enforcement Division, will review the compliance practices of research firms
New York – Integrity Research Associates LLC announced Monday that Susan Mathews, the former regulatory liaison at the Securities and Exchange Commission for the Global Research Analyst Settlement, has joined the company to expand its research compliance offerings.
“Susan is a perfect fit for Integrity Research,” said Michael Mayhew, Integrity’s founder and Chairman. “She spent nearly a decade in the S.E.C.’s Enforcement Division and she knows research extremely well.”
Mathews began her S.E.C. career as Senior Counsel and Deputy Ethics Liaison for the Office of Chief Counsel in the Enforcement Division, before being asked to be the regulator liaison for the Global Research Analyst Settlement. In this capacity, she was the point of contact for the twelve investment banks and their independent consultants implementing the independent research provisions of the Settlement.
More recently, Mathews has been advising clients on compliance, conflict of interest, and ethics issues through her legal consulting business, Madigail Consulting LLC.
At Integrity Research, she will be integral in reviewing the compliance capabilities of research firms. The new service, Integrity ResearchCompliance, provides compliance reviews of research firms for the benefit of asset management clients.
“I’ve known Integrity Research since my days as a regulator, and have always respected their depth of knowledge about the research industry,” said Mathews. “Now that the emphasis has turned toward compliance, I’m excited to be able to make a contribution.”
Mathews has a J.D. from Georgetown University and a B.A. from Hamilton College.
Any questions about Ms. Mathew’s hiring, or Integrity Research Associates’ new ResearchCompliance service should be directed to Michael Mayhew via e-mail at Michael.Mayhew@integrity-research.com or by calling 646-786-6859.