[24211]
April 1, 2010
TO: CHIEF COMPLIANCE OFFICER COMMITTEE No. 4-10
COMPLIANCE ADVISORY COMMITTEE No. 5-10
INTERNAL AUDIT ADVISORY COMMITTEE No. 4-10
SEC RULES COMMITTEE No. 14-10 RE: SEC APPOINTS ITS FIRST CHIEF COMPLIANCE OFFICER
The SEC has announced the appointment of Kathleen Griffin as its first Chief Compliance Officer. Prior to joining the Commission, Ms. Griffin was Vice President, Senior Compliance Manager, and Deputy Code of Ethics Officer for Putnam Investments. During her career she has also served as a Senior Vice President and Director of Compliance for Atlantic Trust Company, N.A., and Vice President and Principal of State Street Global Advisors. She holds a B.A. from the University of Massachusetts at Boston.
Ms. Griffin’s role as SEC CCO will involve streamlining and centralizing oversight responsibility for employee security transactions and financial disclosure reporting. She will head a new compliance unit within the SEC’s Office of Ethics Counsel. The announcement of her appointment is available on the SEC’s website at http://www.sec.gov/news/press/2010/2010-50.htm.
Tamara K. Salmon
Senior Associate Counsel