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Stories of Interest
- SEC Charges Additional Defendant in Fraudulent ICO Scheme
- Warren Buffett Simply Blew it on Wells Fargo Stock: Dick Bove (Video)
- Barclays and Deutsche Bank to Lag U.S. Trading Peers
- NY AG Schneiderman Seeks to Close Loophole That Could Let Trump Pardons Block State Charges
- 'Fearless Girl' is Moving to NYSE After Year Staring Down 'Charging Bull'
- What's In Your Wallet - American Express Shares Soar After Earnings Release
- Deutsche Bank's Executive Departures Continue Following Change in CEO
- Reflections of an Economist Commissioner (SEC's Piwowar)
- Billionaire HF Manager and The Fed Chair Runner-Up are Investing in New Cryptocurrency
- Court Finds 2 Brokers Liable for Fraud Involving Mortgage-Backed Securities
- One FINRA: An Organization’s Commitment to Diversity and Inclusion
- 2018 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
- Barclays Eyes Move Into Cryptocurrency Trading
- Goldman Breaks From Wall Street Pack with Bond-Trading Boom
- Janney Montgomery Scott CEO Joins FINRA Board of Governors
- SEC Encourages Investors to Do Background Checks on Investor.gov
- The Martin Act: Wall Street Titan Takes Aim at Law That Tripped Him Up
- Bank of America’s Cost-Cutting Drive Pushes Profit to Record
- Larry Fink: Wall Street’s $6 Trillion Man Finally Worth $1Bn
- Activist Investor Wants Barclays Investment Banking Overhaul (Video)
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NEWSLETTERS & ALERTS
SEC Names New Director of OCIE
The SEC has named Peter Driscoll as Director of the Office of Compliance Inspections and Examinations (OCIE). Mr. Driscoll has served as OCIE’s Acting Director since January 2017.
OCIE, responsible for directing the SEC’s National Examination Program, conducts examinations of SEC-registered investment advisers (RIAs), investment companies (RICs), broker-dealers (B/Ds), self-regulatory organizations (SROs), and transfer agents, among others. The National Examination Program uses a risk-based approach to fulfill its mission of promoting compliance with the U.S. securities laws, preventing fraud, monitoring risk, and informing policy.
PETER DRISCOLL’S EXPERIENCE. After earning his Bachelor’s Degree in Accounting and Law Degree from St. Louis University, Mr. Driscoll began his career with Ernst and Young and held several accounting positions in private industry. He is a CPA and a member of the Missouri Bar Association
Mr. Driscoll first joined the SEC as a summer legal intern in the Chicago Regional Office in 2000. He rejoined the SEC in 2001 as a staff attorney in the Division of Enforcement and was later a Branch Chief and Assistant Regional Director in OCIE’s Investment Adviser and Investment Company examination program.
He served as OCIE’s Managing Executive from February 2013 through February 2016, prior to being named as OCIE’s first Chief Risk and Strategy Officer in March 2016. In January 2017, he was named OCIE’s Acting Director.
Mr. Driscoll: “I am grateful for the opportunity to lead OCIE, and to continue to work with Chairman Clayton, the Commissioners, and our colleagues across the agency to protect investors and ensure market integrity. It is my privilege to work alongside our talented and dedicated examiners who serve as the eyes and ears of the Commission.”