PCAOB Faculty: Kathleen M. Hamm

Hamm 150Kathleen M. Hamm was appointed a Board Member of the Public Company Accounting Oversight Board by the Securities and Exchange Commission in December 2017, and sworn in on January 2, 2018.

Board Member Hamm came to the PCAOB from Promontory Financial Group, where she was the global leader of securities and fintech services and senior strategic adviser to the chief executive officer on cyber solutions. Among other matters, she helped companies develop strategies to build into their systems and operations regulatory requirements and cybersecurity.

Board Member Hamm served at the U.S. Treasury Department from 2014 to early 2017, as counselor to the deputy secretary on cybersecurity and related governance, regulatory, compliance, and risk management issues facing the financial services sector. She assisted the deputy secretary in coordinating Treasury’s strategic policy initiatives, domestically and internationally, through a cybersecurity expert group impaneled by the G-7 finance ministers and central bank governors. Board Member Hamm also led Treasury’s cybersecurity working group, which helped develop, coordinate, and facilitate the implementation of the department’s internal and external cybersecurity strategies and initiatives.

Prior to joining the Treasury, Board Member Hamm led Promontory Financial Group’s Securities Practice Group, providing strategic advice and practical solutions to guide global and domestic financialĀ  regulators and companies through complex regulatory, compliance, risk management, and enforcement issues during the financial crisis and its aftermath. She also served as the independent compliance consultant in settled enforcement actions and conducted independent internal investigations.

Among her other positions, Board Member Hamm was a director, member of the executive committee, and chair of the regulatory oversight committee of a national securities exchange, having earlier served as the chief regulatory and compliance officer for another exchange. She was also an adjunct professor at the Georgetown University Law Center, teaching Corporate Controls, Compliance, and Governance. Board Member Hamm also served nearly a decade with the SEC in its Division of Enforcement where, as an assistant director, she managed and coordinated all aspects of three enforcement branches that investigated potential violations of the federal securities laws.

A graduate of the University at Buffalo, SUNY, with a B.S., summa cum laude, majoring in business administration and concentrating in the Registered Accounting Program, Board Member Hamm also holds a J.D., with honors, from the Duke University School of Law and earned her LL.M. in securities regulation, with distinction, from the Georgetown University Law Center, graduating first in her class.

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Details

When: Wednesday, April 10, 2019
7:00 am - 8:15 am (breakfast & registration)
8:15 am - 5:00 pmĀ (followed by cocktail party)
Where: Mandarin Oriental
1330 Maryland Avenue, SW
Washington, D.C. 20024
CLE Credit: 6.0 hours (approved in PA)

Materials

Links to materials available here.

CLE Info and Forms

SEF2014 CLE -smCLE forms available here.

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