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Stories of Interest
- Stephen Hicks Barred for Defrauding His CT Hedge Funds - SEC
- Barclays CEO Staley Sees Pay Decline - Frankly, He's Lucky to Still be Employed
- Barclays Female Investment Bankers Earn 21% Less in Bonuses than Male Counterparts
- FINRA Eliminates $400 Fee for Explained Arbitration Decision
- SEC Adopts Statement and Interpretive Guidance on Public Company Cybersecurity Disclosures
- SEC Charges Former Bitcoin Exchange and Its Founder With Fraud
- JPMorgan Chase to Replace NYC Headquarters with 70-Story Skyscraper
- Citigroup Raises CEO Corbat's Pay 48% to $23Mn
- Should Congress Create a Crypto-Cop?
- JPMorgan Weighs Buying an Exchange-Traded Funds Firm
- Hey, Goldman Sachs: Wanna Buy BNY Mellon?
- SEC Order Rejecting Acquisition of Chicago Stock Exchange (CSX) by Chinese-Baesd Company
- Kyle Moffatt Named Chief Accountant in SEC CorpFinance
- SEC Suspends Trading in 3 Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
- Karen Garnett, Assoc. Director of SEC CorpFinance, to Leave After 23 Years of Service
- Louisiana Adviser Barred for Hiding Losses from Investors
- Connecticut HF Manager Illegally Diverted Investor Money - Now Owes Nearly $13Mn
- White House Cleaning House of Advisors Without Full Security Clearance
- Goldman Projects 30% Growth in Wealth Management Advisor Force
- Whistleblower Alleges Manipulation of CBOE Volatility Index
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NEWSLETTERS & ALERTS
Head of Investment Adviser/Investment Company Exams to Leave SEC
Ken Joseph, Head of the Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office, is planning to leave the Agency after 21 years of service.
Since 2012, Mr. Joseph has led a team of over 130 accountants, examiners, attorneys, and support staff – within the Office of Compliance Inspections and Examinations (OCIE) – who are responsible for examining investment companies and investment advisers in New York and New Jersey.
Prior to joining OCIE in 2012, Mr. Joseph spent 16 years as a Staff Attorney, Branch Chief, and Assistant Director in the SEC’s Division of Enforcement in Washington, D.C., and New York. When Enforcement was reorganized in 2010, he joined the newly formed Asset Management Unit. Mr. Joseph joined the SEC as a law clerk in 1996 after graduating from the University of North Carolina at Chapel Hill School of Law.
In addition to his law degree, Mr. Joseph also holds a BS degree, an MBA in Marketing Management, and a post-MBA Advanced Professional Certificate in International Finance from St. John’s in New York. He worked previously as an Associate Dean at St. John’s, a project manager in the financial services industry, and as a unit leader in the municipal bond department of a Wall Street firm.