Kay Smith is a Director at Patomak. Ms. Smith advises financial services firms on public policy, regulatory compliance, corporate governance, and litigation and enforcement matters.
Ms. Smith advises clients on U.S. and EU legislative and regulatory developments that may affect their operations, including developments related to the regulation of banks, insurance companies, asset managers, exchanges, and broker-dealers. She also conducts comprehensive regulatory compliance reviews, including under SEC, CFTC, and FINRA settlements and DOJ deferred prosecution agreements. As part of this work, she has advised investment banks, asset managers, financial market utilities, and broker-dealers on regulatory matters, worked closely with regulators and presented findings to enforcement authorities, and developed and managed compliance testing of key controls. Ms. Smith also works with legal counsel on litigation and regulatory enforcement matters, including assisting with expert testimony for banks, broker-dealers, asset managers, accounting firms, and public companies.
Ms. Smith joined Patomak in 2010. Earlier in her career, she worked at Carlsmith Ball LLP in Honolulu, Hawaii. She also served as a judicial intern to the Honorable Henry H. Kennedy, Jr. with the United States District Court for the District of Columbia, and the Honorable Lynn Leibovitz with the Superior Court of the District of Columbia.
Ms. Smith received her B.A. in Economics from Virginia Polytechnic Institute and State University and her J.D. from Georgetown University Law Center. While in law school, she served as Administrative Editor of the Georgetown Journal of Gender and the Law.