OCIE Director to Leave the SEC

May 2, 2013

Carlo V. di Florio has announced that he is stepping down as Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE).  Mr. di Florio was appointed Director of the SEC’s OCIE in January 2010. He was also in charge of the National Exam Program, which is comprised of a multidisciplinary team of more than 900 staff in 12 offices across the country.  Mr. di Florio will depart next month to lead a new division of risk and strategy at the Financial Industry Regulatory Authority (FINRA). 

Click http://www.sec.gov/news/press/2013/2013-80.htm for the press release announcing his resignation.


Categories

Investment Advisers, Investment Companies, Miscellaneous