Senior Counsel, U.S. Securities and Exchange Commission
Christine Ayako Schleppegrell, JD, serves as senior counsel at the U.S. Securities and Exchange Commission (SEC) in Washington, D.C. As a member of the Investment Adviser Regulation Office: Private Funds Branch, Professor Schleppegrell advises on policy matters and counsels members of the SEC’s Division of Enforcement and the Division of Examinations regarding ongoing regulatory actions.
Prior to joining the SEC, she worked as an attorney in private practice for several years, including in the financial services group of Dechert LLP in Washington, D.C. Previously, Professor Schleppegrell was an associate in the financial services group of Schiff Hardin LLP in Washington, D.C. and San Francisco, California where she advised board members and trustees on corporate governance and regulatory matters. While in private practice, Professor Schleppegrell focused on interpretive and compliance issues under the federal securities laws, including the Advisers Act, Company Act, Securities Act, and Exchange Act. She represented advisers to various investment vehicles, including private funds, foreign funds, business development companies, registered investment companies, and collateralized loan obligations, as well as separately managed accounts.
Professor Schleppegrell is a frequent speaker at industry events and has guest lectured at the USC Gould School of Law. Currently, she co-chairs the D.C. Bar Association’s Investment Management and Broker-Dealer Regulation Sub-Committee and chairs the 100 Women in Finance D.C. Education Committee. Previously, Professor Schleppegrell held various board positions with the Asian Pacific American Bar Association of D.C. and co-founded the Washington D.C. Compliance Round Table.
She earned her law degree from the University of Washington School of Law and completed her undergraduate studies at Vassar College and Oxford University, St. Catherine’s College.