Speaker Series

Keynote Speakers:

Kathleen Hamm, PCAOB Board Member

Nov. 30, 2018

1:00pm - 2:30pm

Haslam College of Business Room: 402

Knoxville, TN

Kathleen M. Hamm was appointed a Board Member of the Public Company Accounting Oversight Board by the Securities and Exchange Commission in December 2017, and sworn in on January 2, 2018. She joined the PCAOB from Promontory Financial Group, where she was the global leader of securities and fintech services and senior strategic adviser to the chief executive officer on cyber solutions. Among other matters, she helped companies develop strategies to build into their systems and operations regulatory requirements and cybersecurity. Earlier, Board Member Hamm served at the U.S. Treasury Department from 2014 to early 2017, as counselor to the deputy secretary on cybersecurity and governance, regulatory, compliance, and risk management issues facing the financial services sector.

Before Treasury, Board Member Hamm led Promontory Financial Group's Securities Practice Group, providing strategic advice and practical solutions to guide global and domestic financial regulators and companies through complex regulatory, compliance, risk management, and enforcement issues during the financial crisis and its aftermath. Among her other positions, she was a director, member of the executive committee, and chair of the regulatory oversight committee of a national securities exchange, having earlier served as the chief regulatory and compliance officer for another exchange. Board Member Hamm was also an adjunct professor at the Georgetown University Law Center, teaching Corporate Controls, Compliance, and Governance. She also served for nearly a decade in the SEC Division of Enforcement where, as an assistant director, she managed and coordinated all aspects of three enforcement branches that investigated potential violations of the federal securities laws. She received a B.S., summa cum laude, in business administration and concentrating in the Registered Accounting Program from the University at Buffalo, SUNY; she holds a J.D., with honors, from the Duke University School of Law; and an LL.M. in securities regulation, with distinction, from the Georgetown University Law Center, graduating first in her class.

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