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Stories of Interest
- North Korean caught secretly mining bitcoin rival
- IPO Timelines Cut by 80% After SEC's Private Filing Decision
- How the Carried Interest Break Survived the Tax Bill
- FINRA: The Neutral Corner
- Coinbasex Says Buying and Selling Temporarily Disabled Amid Price Rout
- Bitcoin plunges by more than a third in a single day
- Goldman Is Setting Up a Cryptocurrency Trading Desk
- Jefferies Lets Employees Choose When to Receive Their Bonuses
- UBS Told to Pay $903K After Losing Retaliation Verdict
- BEWARE: Long Island Iced Tea Shares Soar After Changing Name to Long Blockchain
- Gary Cohn’s Last Laugh: Cashing Out on Trump’s Tax Plan
- E*Trade Lets Customers Trade in CBOE Bitcoin Futures
- Swiss Find Serious Shortcomings at JPMorgan in 1MDB Case
- Washington-based Investment Adviser and His Business Partner Charged in Multi-Million Dollar Scheme
- FINRA Board of Governors Meeting
- Cryptocurrency Market Now Doing Same Daily Volume as the NYSE
- Jailed Barclays Trader Must Pay $400,000 From Libor Profits
- Trump Asks ‘How’s Your 401(k)?’ But Most Voters Don’t Have One
- A Bitcoin Hedge Fund’s Return: 25,004% (That Wasn’t a Typo)
- Madoff Victims Near Full Recovery of Principal With Payout
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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.”