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围观!SEC新任代理主席及首席会计师敲定

四大新鲜事儿  · 公众号  ·  · 2025-02-13 11:25

正文

01

特朗普任命SEC代理主席

美国证券交易委员会(SEC)于2025年1月21日宣布, 美国总统Donald J. Trump已任命Mark T. Uyeda为该机构的代理主席。
SEC代理主席 Mark T. Uyeda 表示:“自2022年起担任委员,并自2006年起担任SEC工作人员以来,我很荣幸能够以这一身份继续服务。我对委员会及其员工的知识、专业知识和经验深表敬意。SEC肩负着重要的使命——保护投资者、维护公平、有序和高效的市场,并促进资本形成——这些使命在推动创新、创造就业机会和实现美国梦方面发挥着关键作用。”
代理主席 Mark T. Uyeda 于2022年6月30日首次宣誓就任委员,此前已获得美国参议院的确认。随后,他再次获得提名并确认连任,任期五年,至2028年届满。在特朗普总统的第一任期内,他曾借调至美国财政部高级领导层以及美国劳工部长Eugene Scalia的办公室。他还曾借调至美国参议院银行、住房和城市事务委员会。在SEC,他曾担任主席Jay Clayton的高级顾问、委员Michael S. Piwowar和Paul S. Atkins的顾问,以及投资管理部的助理主任和高级特别顾问。
在加入SEC之前, Mark T. Uyeda 被加州州长 Arnold Schwarzenegger 任命为 加州公司委员会 (该州的证券监管机构)的首席顾问。在其职业生涯早期,他曾在华盛顿特区的Kirkpatrick & Lockhart律师事务所和洛杉矶的O’Melveny & Myers律师事务所担任公司和证券律师。
Mark T. Uyeda 出生于加利福尼亚州橙县一个 日裔美国家庭, 1992年获得乔治城大学工商管理学士学位,1995年以优异成绩获得杜克大学法学学位。在杜克大学就读期间,他还是《杜克法律期刊》的成员。 他曾担任大华盛顿地区亚太律师协会主席,并于2023年获得全美 亚太裔律 师协会颁发的Daniel K. Inouye Trailblazer Award。
Mark T. Uyeda在领英介绍如下:

02

SEC新任代理主席任命
首席会计师等代理高级职员

2025年1月24日, SEC代理主席Mark T. Uyeda任命代理高级职员,其中包括代理总法律顾问Jeffrey Finnell、代理经济与风险分析部主任Robert Fisher、代理国际事务办公室主任Kathleen Hutchinson、代理执法部主任Samuel Waldon以及 代理首席会计师Ryan Wolfe。
详细如下:

美国证券交易委员会(SEC)宣布了几项临时任命,以填补近期人员离职造成的空缺。代理主席Mark T. Uyeda强调了这些人员对保护投资者、与企业和市场参与者建立信任以及促进资本形成的承诺。


经委员会同意,新任命的代理高级职员包括:


Jeffrey Finnell – 代理总法律顾问

Robert Fisher – 代理经济与风险分析部主任

Kathleen Hutchinson – 代理国际事务办公室主任

Samuel Waldon – 代理执法部主任

Ryan Wolfe – 代理首席会计师(自2025年1月25日起生效)

此次任命之前, Ryan Wolfe担任执法司首席会计师,此前他还担任SEC高级助理总会计师。加入SEC前,他担任Veris 咨询公司的高级经理。更早之前,他曾在安永实习。
Ryan Wolfe的简历详细如下:
原报道如下:


Washington D.C., Jan. 21, 2025 —


The Securities and Exchange Commission today announced that President Donald J. Trump has designated Mark T. Uyeda as Acting Chairman of the agency.


“I am honored to serve in this capacity after serving as a Commissioner since 2022, and a member of the staff since 2006,” Acting Chairman Uyeda said. “I have great respect for the knowledge, expertise, and experience of the agency and its people. The SEC has a vital mission—protecting investors, maintaining fair, orderly, and efficient markets, and facilitating capital formation—that plays a key role in promoting innovation, jobs creation, and the American Dream.”


Acting Chairman Uyeda was first sworn into office as a Commissioner on June 30, 2022, after being confirmed by the U.S. Senate. He was subsequently re-nominated and confirmed for a five-year term expiring in 2028. During President Trump’s first term, he served on detail to senior leadership at the U.S. Department of the Treasury and to Secretary Eugene Scalia at the U.S. Department of Labor. He has also served on detail to the U.S. Senate Committee on Banking, Housing, and Urban Affairs. At the SEC, he has served as Senior Advisor to Chairman Jay Clayton, Counsel to Commissioners Michael S. Piwowar and Paul S. Atkins, and Assistant Director and Senior Special Counsel in the Division of Investment Management.


Before joining the SEC, Acting Chairman Uyeda was appointed by Governor Arnold Schwarzenegger to serve as the Chief Advisor to the California Corporations Commissioner, the state’s securities regulator. Earlier in his career, he worked as a corporate and securities attorney at Kirkpatrick & Lockhart in Washington, D.C., and O’Melveny & Myers in Los Angeles.


Originally from Orange County, California, Acting Chairman Uyeda earned his bachelor's degree in business administration from Georgetown University in 1992 and his law degree with honors from Duke University in 1995, where he was a member of the Duke Law Journal. He is a past president of the Asian Pacific Bar Association of the Greater Washington, D.C. Area and a 2023 recipient of the Daniel K. Inouye Trailblazer Award from the National Asian Pacific American Bar Association.



The Securities and Exchange Commission today announced Acting Chairman Mark T. Uyeda’s selections for several senior roles in acting capacities across the Commission to fill vacancies created by recent departures.


“These talented individuals are committed to protecting the investing public, building trust with American companies and market participants, and promoting capital formation,” Acting Chairman Uyeda said.


The SEC senior staff selected by Acting Chairman Uyeda, with the concurrence of the Commission, include:


  • Jeffrey Finnell, Acting General Counsel

  • Robert Fisher, Acting Director of the Division of Economic and Risk Analysis

  • Kathleen Hutchinson, Acting Director of the Office of International Affairs

  • Samuel Waldon, Acting Director of the Division of Enforcement

  • Ryan Wolfe, Acting Chief Accountant (effective Jan. 25, 2025)

END


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