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SEC Names New Director of Office of Compliance Inspections and Examinations

The SEC named Peter B. Driscoll as Director of the Office of Compliance Inspections and Examinations ("OCIE"). Mr. Driscoll has been the OCIE Acting Director since January 2017.

The OCIE is responsible for directing the SEC National Examination Program, which oversees examinations of investment advisers, broker-dealers, self-regulatory organizations and other market participants.

Mr. Driscoll previously served as OCIE Chief Risk and Strategy Officer, Branch Chief and Assistant Regional Director in the OCIE Investment Adviser and Investment Company examination program, and as a staff attorney in the Division of Enforcement.

Primary Sources

  1. SEC Press Release: SEC Names Peter B. Driscoll as Director of Office of Compliance Inspections and Examinations (October 26, 2017)

Tags

Regulated Activities
Governance
Sub-Activity
Regulatory Personnel Changes
Regulated Entities
Regulatory Agencies
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC