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Gandy is New Co-Head of OCIE Examinations for RIAs, RICs

June 6, 2019

The Securities and Exchange Commission promoted Marshall Gandy to the position of Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).


He joins Co-National Associate Director Kristin Snyder, who has led the program since Aug. 2016, and was named OCIE’s Deputy Director in July 2018.  Together they will oversee more than 630 lawyers, accountants, and examiners responsible for inspections of SEC-registered investment advisers and investment companies. 


Mr. Gandy’s background:

  • From March 2012 to present, he’s been the Associate Regional Director for Examinations in the SEC’s Fort Worth office, and will continue in that role while also assuming this shared leadership position in the national IA/IC program. 


  • From 2008 to 2012, he served as Senior Regional Counsel at FINRA’s Dallas District Office.


  • From 1999 to 2007, he served as a trial counsel and enforcement attorney in the SEC’s Fort Worth office’s enforcement program.


  • From 1979 to 1998, he held the roles of Assistant District Attorney then Presiding Judge in Dallas County.


  • He received his law degree from SMU.