Senior Counsel in the Asset Management Unit (AMU) in the Division of Enforcement of the SEC’s Chicago Regional Office
- Company:U.S. Securities & Exchange Commission
- Short Bio:Jon Katz is a Senior Counsel in the Asset Management Unit (AMU) in the Division of Enforcement of the U.S. Securities and Exchange Commission (SEC), located in its Chicago Regional Office. The AMU focuses on violations of the federal securities laws involving investment advisers, investment companies, private funds, and associated managers, control persons, and service providers. AMU investigations may include issues related to conflicts of interest, fees, valuation practices, performance disclosure violations, due diligence procedures, and portfolio management. Jon joined the commission in 2012, after spending almost four years as a trial attorney in the Fraud Section of the Civil Division of the U.S. Department of Justice in Washington, D.C., and seven years practicing commercial litigation in the Chicago office of an international law firm. Jon received a J.D. with honors from the University of Chicago Law School in 2001, and a B.A. in History, summa cum laude, from Washington University in St. Louis in 1998.
April 21, 2020, 10:15
2020 Regulatory Interchange – April 21 (CANCELLED)