Compliance Solutions for Investment Advisers

Monthly Archives: May 2013

SEC Examinations and Enforcement

In recent testimony before the U.S. House of Representatives Committee on Financial Services, Chairman Mary Jo White of the U.S. Securities and Exchange Commission (“SEC”) discussed some of the recent activities of the SEC.  The testimony addressed several key areas of SEC oversight and focus including the areas of SEC enforcement and the SEC’s inspection

More Examination of SEC Advisers is Priority

Mary Jo White, head of the Securities and Exchange Commission, told the House Financial Services Committee that the agency’s top priority is increasing examination of financial advisers. “Significant additional coverage is essential if investors are to be appropriately protected,” she said. The SEC doesn’t have an opinion on whether that should be accomplished through more

National Exam Program Head Carlo V. di Florio to Leave SEC

The Securities and Exchange Commission today announced that Carlo V. di Florio will leave the agency after leading its National Exam Program for more than three years. Mr. di Florio will depart later this month to lead a new division of risk and strategy at the Financial Industry Regulatory Authority (FINRA).