Helane Morrison is a Principled Compliance Officer

Helane Morrison, a legal professional who has been in charge of enforcement program for the SEC’s District Office based in San Francisco, has expressed her interests of continuing to spearhead the Office’s aggressive program in the position of Office Administrator. The SEC promoted Morrison to the position of District’s Chief, making her the first woman to serve in the position of District’s Chief. She has gained experience and unequaled professional expertise by working with other professionals on the enforcement side to expand the relevance and impact of the office in the whole of San Francisco. Morrison’s role as the District’s Chief was to maintain the flow of office momentum.


Morrison oversaw both the examination and enforcement staffs within the jurisdiction of San Francisco office that comprises of Northern California, Alaska, Idaho, Washington, Oregon, and Montana. She succeeded David Bayless, who served as the Administrator of San Francisco office for a span of five years. During her tenure as an employee of SEC, Morrison oversaw a couple of major investigations, comprising of three that led to enforcement actions against New York’s Republic Securities (Dean Witter) and California Micro Devices’ auditors.


According to Morrison, the San Francisco District Office’s employees increased from 30 to 60 within five years due to the amplified workloads for both examination and enforcement officers. The examination staff specializes in studying books and documents of registered organizations, including brokerage firms, investment advisors, and mutual funds, and can handle less challenging problems. They can also refer complex cases to qualified enforcement officers.


Who is Helane Morrison?


Helane Morrison has managed to establish herself as an authority in the compliance world. She has maintained integrity and accountability during her times as a journalist, an employee of the government, and a managing director of Hall Capital Partners. Morrison started out as a law clerk for the United States Court of Appeals (19b4-1985) and Supreme Court (1985-1986). She joined a San Francisco-based law company in 1986, worked her way up to becoming a Partner in 1991, and relinquished his position in 1996. Her practice handled business litigation and defended private securities activities and SEC matters.


Morrison was the Regional Director of the San Francisco-based SEC’s office from 1999 to 2007. She handled regulatory matters, litigation, and securities enforcement. Between 1996 and 1999, she specialized in representing SEC in financial communities, news media, legal business, and government agencies. As a talented speaker, Morrison handles topics such as compliance matters and legal issues that affect private funds and investment advisers.