BROWSE BY TOPIC
- Bad Brokers
- Compliance Concepts
- Investor Protection
- Investments - Unsuitable
- Investments - Strategies
- Wall Street News
- Investments - Private
- Rules & Regulations
- Bad Advisors
- Boiler Rooms
- Terminations/Cost Cutting
- General News
- Donald Trump & Co.
- Regulatory Sanctions
- Big Banks
Stories of Interest
- 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
We seek to provide information, insights and direction that may enable the Financial Community to effectively and efficiently operate in a regulatory risk-free environment by curating content from all over the web.
Stay Informed with the latest fanancialish news.
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.