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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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NEWSLETTERS & ALERTS
Gandy is New Co-Head of OCIE Examinations for RIAs, RICs
The Securities and Exchange Commission promoted Marshall Gandy to the position of Co-National Associate Director of the Investment Adviser/Investment Company examination program in the Office of Compliance Inspections and Examinations (OCIE).
He joins Co-National Associate Director Kristin Snyder, who has led the program since Aug. 2016, and was named OCIE’s Deputy Director in July 2018. Together they will oversee more than 630 lawyers, accountants, and examiners responsible for inspections of SEC-registered investment advisers and investment companies.
Mr. Gandy’s background:
- From March 2012 to present, he’s been the Associate Regional Director for Examinations in the SEC’s Fort Worth office, and will continue in that role while also assuming this shared leadership position in the national IA/IC program.
- From 2008 to 2012, he served as Senior Regional Counsel at FINRA’s Dallas District Office.
- From 1999 to 2007, he served as a trial counsel and enforcement attorney in the SEC’s Fort Worth office’s enforcement program.
- From 1979 to 1998, he held the roles of Assistant District Attorney then Presiding Judge in Dallas County.
- He received his law degree from SMU.