As an attorney in New York City, Deepa Walton oversees compliance with the laws and regulations of the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). Among her principal functions, Deepa Walton prevents insider trading by monitoring communication between research analysts and investment bankers and by enforcing information barriers that restrict confidential information from improper disclosure.

Working closely with research analysts, Ms. Walton provides direction for following relevant FINRA rules and maintaining research independence. She also formulates policy based upon the Global Analyst Research Settlement to help develop international research compliance standards for financial markets. She has previously handled SEC and FINRA compliance issues as vice president and senior counsel for Citigroup. Along with training staff members and implementing various information barriers, she reviewed investment research as mandated by multiple securities regulations. She also maintained oversight of investment analysts, observing and authorizing their trading activities as well as reviewing and approving their appearances before the media. To institute revised equity and fixed income research rules, she created policy in line with new regulations.

Balancing her career pursuits, Ms. Walton spends her free time playing badminton and preparing authentic Indian food.