Chris Mulligan

Chris Mulligan has held a number of positions in the Division of Examinations and Division of Investment Management at the SEC.  Chris currently serves as the IA / Private Funds Senior Advisor and Co-coordinator of the Private Funds Specialized Working Group in the Division of Exams.  Chris leads the Division’s efforts to train exam staff and implement new investment adviser rules, including the Marketing Rule.  Chris has drafted numerous investment adviser Risk Alerts, including the only two Risk Alerts on private fund advisers.   He also helps develop all rulemakings impacting investment advisers, counsels examiners on legal issues and enforcement referrals, conducts exams, trains staff and develops exam initiatives and priorities related to private fund advisers. Before joining the SEC, Chris was in private practice counseling private equity advisers and institutional investors with respect to fund formation and regulatory issues. Chris earned his J.D. from Georgetown Law.