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TRENDING TAGS
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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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SEC - NY Office: New Associate Regional Director
James Capezzuto is the new Associate Regional Director for Examinations in the New York Regional Office, succeeding Norm Champ, who was appointed OCIE Deputy Director. Mr. Capezzuto will direct a staff of 100 accountants and examiners doing inspections of investment advisers and investment companies. He's been serving in this role, those in an "Acting" capacity. George Canellos heads up the New York Regional Office.
These past 3 years Mr. Capezzuto has served as Senior Attorney Adviser within the investment management examination program. Before joining the SEC in 2007, he spent 18 years in legal and compliance positions for the investment management industry - Aberdeen Asset Mgmt, UBS Global Asset Mgmt, and BofA Alternative Investments. [SEC PR 10-194, 10/14]
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