Author Susan Mathews

Susan Mathews was Senior Counsel, Regulator Liaison and Deputy Ethics Liaison in the Office of the Chief Counsel in the Division of Enforcement at the Securities and Exchange Commission Headquarters in Washington, DC for almost ten years. During her tenure at the SEC, she was the Regulator Liaison for the independent research portion of a $1.4 billion settlement involving the nation’s top twelve investment firms (Global Research Analyst Settlement, 2003). She also conducted ethics counseling and training for the Enforcement division; drafted division policies; reviewed and commented on pending legislation; and drafted speeches for senior enforcement officials. Additional qualifications include: Certified Mediator, FINRA Arbitrator, Member of the DC and MD Bars. Education: Georgetown University Law Center, J.D. May 1992. Hamilton College, B.A. Religion (Honors) / Psychology, May 1987.


Expert Networks Continue to Present Compliance Challenges

The following is a guest article by Susan Mathews, Principal & Founder of Madigail Consulting, LLC a securities compliance consultant providing research and ethics compliance, training and external CCO services ...