Marshall Gandy

Sr. Officer and Co-National Director

U.S. Securities & Exchange Commission

Marshall Gandy is a Senior Officer and Co-National Associate Director of the Investment Adviser/Investment Company examination program in the SEC’s Office of Compliance Inspections and Examinations. Together with Kristin Snyder, OCIE’s Deputy Director and other Co-National Associate Director, they oversee more than 630 lawyers, accountants, and examiners responsible for inspections of SEC-registered investment advisers and investment companies. Mr. Gandy also continues to serve as the Associate Regional Director for Examinations in the SEC’s Fort Worth office where, since 2012, he has led a staff of forty-five accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisers, hedge fund managers, private equity firms, municipal advisers, and transfer agents in Texas, Oklahoma, and Arkansas. In addition, he serves in various leadership roles in the SEC’s National Examination Program including sitting on the Operating and Executive Committees. Mr. Gandy joined the SEC’s Fort Worth office in 1999 where he spent eight years as a staff attorney and trial counsel in the Division of Enforcement before taking the role of Senior Regional Counsel in Dallas District Office of the Financial Industry Regulatory Authority in 2008. Mr. Gandy began his legal career in Dallas County as Criminal Court Judge and an Assistant District Attorney. He obtained his J.D. from Southern Methodist University.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843