Broker-Dealers Business Practices
Investment Advisers Business Practices
Financial Services Technologies
With over 30 years of industry experience as former SEC Director, Goldman Sachs VP, and Consultant, Kristin Kaepplein is an expert in financial intermediaries’ regulation and compliance, broker-dealer and investment adviser business practices, and technologies employed in provisioning financial services to institutional and retail investors.
In her nearly-10 years at the SEC, first as Director of the Office of Investor Education and Advocacy, then as Senior Adviser and Managing Executive of the Division of Economic and Risk Analysis, and finally as a Senior Officer in the Office of Information Technology, Kristin led or was engaged in numerous significant initiatives, including:
the SEC’s 3rd Annual Senior Summit,
the creation of the Mutual Fund Summary Prospectus,
eXtensible Business Reporting Language (XBRL)
research on topics of interest to the Commission including life settlements and recentness of data used in municipal securities ratings,
regulation of equity-indexed annuities,
IA/BD standards of care,
Section 404 guidance,
the Plain Language initiative,
removal of references to credit ratings from SEC rules,
plans for Consolidated Audit Trail data,
FOIA procedures and
the agency's strategic plan and strategic technology plan.
Before joining the Securities and Exchange Commission, Ms. Kaepplein spent nearly twenty years in the financial services industry. She was a Vice President for Global Compliance Operations at Goldman Sachs and through her career, she worked with many of the financial services industry's largest broker-dealers and investment managers as a management consultant with PricewaterhouseCoopers
and as a self-employed contractor.
As a management consultant, Kristin focused on improving buy and sell-side firms’ efficiency and effectiveness through process improvements, technological innovations, and structural and organizational changes.
Ms. Kaepplein received her B.A. from Georgetown University and her MBA from the University of Pennsylvania's Wharton School of Business.
The Wharton School of Business
BA, Government (International Relations)
SEDA Experts, LLC
US Securities and Exchange Commission
Associate Director, Office of Information Technology
Managing Executive, Division of Economic
and Risk Analysis
Director of Investor Education and Advocacy
VP, Global Compliance Operations
Independent Subcontractor/Management Consultant
Internal Management Consultant
Founder and CEO
Shearson Lehman Brothers
Chief of Staff to Chief Technology Officer
Prudential Mutual Funds