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December 5 - 7, 2021
Monarch Beach ResortDana Point, CA

Dabney O’Riordan
Co-Chief of the Asset Management Unit, Division of Enforcement at U.S. Securities and Exchange Commission


C. Dabney O’Riordan has been the co-Chief of the Asset Management Unit (AMU) in the SEC’s Division of Enforcement since June 2016. The AMU is dedicated to identifying misconduct in the asset management industry, including investment advisers to separately managed accounts, registered investment companies, and private funds. In leading the AMU, Ms. O’Riordan manages attorneys and industry experts located in Washington, DC and nine of the SEC’s regional offices. Ms. O’Riordan joined the SEC’s Los Angeles Regional Office in 2005 as a staff attorney and became a member of the AMU when it was first formed in 2010. In 2012, after working as counsel to the Director of the Division of Enforcement, Ms. O’Riordan became an Assistant Director supervising investigations. Before joining the SEC, Ms. O’Riordan was a litigation associate at Munger, Tolles & Olson LLP, and served as a law clerk to the Honorable David R. Thompson of the U.S. Court of Appeals for the Ninth Circuit. She received her J.D. from the University of California, Los Angeles and her undergraduate degree from Wellesley College. Ms. O’Riordan is based in the Los Angeles, California.

Agenda Sessions

  • SEC 2021 – Examining the latest priorities and exam questions