Lourdes Gonzalez

Lourdes Gonzalez

Assistant Chief Counsel, Division of Market Regulation

US Securities & Exchange Commission (SEC)

Lourdes Gonzalez is Assistant Chief Counsel for Sales Practices in the Division of Trading and Markets at the U.S. Securities and Exchange Commission.  The Office of Chief Counsel has program responsibility for a broad range of broker-dealer issues, including broker-dealer registration, sales practices, supervision, securities arbitration, and anti-money laundering compliance.  She is a frequent speaker on these topics, and has represented the Commission both nationally and internationally.  In addition, Ms. Gonzalez is the Commission’s representative to the Bank Secrecy Act Advisory Group and she oversees the Commission staff’s participation in the Financial Action Task Force. 

Prior to joining the Commission, Ms. Gonzalez worked at the U.S. Department of the Treasury.  She earned her law degree from George Washington University and her undergraduate degree from Georgetown University.

BREAKOUT: AML for Broker Dealers: Effective Compliance in the Securities Industry

Chopin

An annual conference highlight, this breakout session addresses current regulatory topics affecting the cross-border private client business. Featuring senior SEC and FINRA staff and leading brokerage industry counsel, both internal and external, the panel will discuss: The SEC’s proposed Regulation Best Interest and its impact on the cross-border private wealth business The significance of FINRA’s […]

AML Operations Legal & Regulatory
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