- Chief Compliance Officer and VP of Legal Affairs, Arrow Electronics
The SEC is creating an Office of Risk and Strategy within its Office of Compliance Inspections and Examinations, which will consolidate and streamline risk assessment, market surveillance, and quantitative analysis teams and provide operational risk management and organizational strategy for OCIE. Peter Driscoll will lead the office and has been ...
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A risk alert from the Securities and Exchange Commission listed top reasons why a registered broker-dealer might be the subject of an examination.
The Securities and Exchange Commission announced Peter Driscoll, the director of the Division of Examinations (formerly OCIE), will leave the agency in August.
The long-awaited 2021 examination priorities of the Securities and Exchange Commission were released Wednesday, with climate- and ESG-related risks unsurprisingly among areas that will receive enhanced focus.
