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The SEC Speaks in 2017

 
Author(s): Marc Wyatt, David W. Grim
Practice Area: Corporate & Securities
Published: Feb 2017
PLI Item #: 186008
CHB Spine #: B2303

David Grim (B.A., Duke University; J.D., George Washington University) is a partner at Stradley, Ronon, Stevens & Young, LLP in Washington DC.  Dave has spent more than 20 years in public service at the U.S. Securities and Exchange Commission’s Division of Investment Management, joining the Division directly from law school and rising to become its leader, serving as Director.  He is a recognized leader in the asset management industry, having developed a legacy of regulatory policy for investment advisers and investment companies, including mutual funds, exchange traded funds, closed-end funds, business development companies, unit investment trusts, and variable insurance products, and oversaw the Division’s relationships with other key functions at the SEC, including the Division of Enforcement and the National Exam Program.  Prior to his appointment as Director, Dave served in a number of capacities throughout the Division, including Deputy Director and Assistant Chief Counsel.  While at the SEC, Dave was awarded the Supervisory Excellence Award, Capital Markets Award, as a member of the Asset-Backed Securities Rulemaking Team, Law & Policy Award for Dodd Frank implementation, and the Asset-Management Relations Award for leadership of Division reorganization. 


Marc Wyatt was named Director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) and its National Exam Program in November 2015. Marc joined the SEC in 2012 as a senior specialized examiner, focusing on hedge funds and private equity, and was the national co-chair of OCIE’s Private Fund Specialized Working Group.  Marc participated in the creation of the Private Fund Examination Unit in OCIE and served as co-head.  In October 2014, he was named OCIE’s Deputy Director, leading the office’s Technology Controls Program.  Marc began serving as OCIE’s Acting Director in April 2015 before being named the Director.

Before coming to the SEC, Marc was a principal and senior portfolio manager of a global multi-strategy hedge fund.  Prior to that, he was a senior investment banker in the U.S. and U.K. 

Marc is a Chartered Financial Analyst and holds a B.S. in economics from the University of Delaware and M.B.A. from Duke University’s Fuqua School of Business.