C. Dabney O’Riordan — an associate regional director at the Securities and Exchange Commission‘s Los Angeles Regional Office — has been appointed as co-chief of the asset management unit within SEC’s division of enforcement.
SEC said Tuesday O’Riordan will work alongside co-chief Anthony Kelly to lead the unit’s mission to apprehend misconduct of investment advisers, investment companies and private funds.
“Dabney’s excellent judgment, deep knowledge of the laws and rules governing the asset management industry, and strong leadership skills position her perfectly to co-lead the nationwide Asset Management Unit,” said Andrew Ceresney, SEC enforcement division director.
“I am confident that she and her co-chief, Anthony, will be great partners in the unit’s mission and the SEC’s efforts to root out misconduct in the asset management industry.”
In the division of enforcement, O’Riordan previously served as assistant director, counsel to the enforcement division director and staff attorney.
O’Riordan also worked as litigation associate at Munger, Tolles & Olson and as a law clerk to the David Thompson on the U.S. Court of Appeals for the Ninth Circuit.
At SEC, she has investigated or supervised enforcement cases on misconduct in the asset management industry such as advisers who misallocated private fund expenses.
O’Riordan has also supervised investigations on charges against gatekeepers.