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 Session 1A: Anti-Money Laundering Compliance in the Securities Industry

Chopin

Continuing uncertainty in LatAm may be creating a return to old and unfavorable habits. The panel will explore new trends in structuring for Argentine clients, Mexican tax reform legislation that will impact the transparency of many traditional structures, and the impact of Regulation Best Interest both on AML obligations of securities houses and on the […]

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