Katherine Hanniford is a member of the Technology & Privacy Group and Cybersecurity Preparedness & Response Team. She focuses her practice on cybersecurity counseling, as well as federal securities law compliance, enforcement, and litigation. Kate has extensive experience representing financial institutions and senior executives facing examination, investigation, and litigation by regulatory authorities.
District of Columbia
University of Texas at Austin (J.D., 2009)
Swarthmore College (B.A., 2000)
Memberships : Certified Information Privacy Professional (CIPP-US)
Advised a systemically important financial market utility on a range of corporate governance, regulatory compliance, and examination matters.
Advised a broker-dealer and electronic trading platform’s crisis management and response team as lead outside counsel, supporting external communications based on prepared disclosures and real-time inquiries from customers.
Represented an investment adviser and its senior executives in an SEC investigation relating to performance results, model validation, and other compliance issues.
Drafted a comment letter on behalf of a securities industry consortium in response to an SEC proposed rule release that raised cybersecurity and data privacy concerns.
Represented a broker-dealer in a FINRA investigation into order-handling practices, avoiding liability for the firm and individuals.