Lisa Byington

Lisa has enjoyed a 30-year career in financial services compliance, most recently as Senior Regulatory Counsel in the Denver Regional Office of the U.S. Securities and Exchange Commission.  In that role, she supported senior SEC leadership, examination teams, and enforcement investigations on a wide range of legal issues involving investment advisers, broker-dealers, mutual funds, and private funds.  In Washington D.C., Lisa counseled the Director of the SEC’s Office of Compliance Inspections and Examinations on examination policy and risk assessment matters.  She also served as Assistant General Counsel in the SEC’s Office of General Counsel to provide technical expertise on banking and securities legislation, market regulation and derivatives.  Lisa began her career in private practice counseling international banks on their securities and derivatives activities in the United States, including exemptions from U.S. registration requirements, the formation of new U.S. broker-dealers and the establishment of supervisory programs to comply with U.S. regulatory requirements.  Lisa counseled firm clients on U.S. anti-money laundering requirements and global implementation of their sanctions compliance programs.  While in private practice, Lisa published several articles and regularly appeared on industry panels providing advice on private banking, anti-money laundering and cross-border regulation of banks and broker-dealers. During the dot-com era, Lisa was one of the founding members of a start-up online financial services firm that offered then-unconventional fractional shares and window trading.  In that role, she secured regulatory approvals and formed the firm’s compliance and supervisory structure. Lisa earned her J.D. from the George Washington University’s National Law Center in Washington D.C. and her B.A. in Foreign Service and International Politics from Pennsylvania State University.