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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
SEC Announces Incoming and Outgoing Deputy Directors of OCIE
[Photos: Kristin Snyder (left) and Jane Jarcho]
by Howard Haykin
The SEC announced that Kristin Snyder has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).
Kristin Snyder joined the SEC in 2003 from Sidley Austin Brown & Wood. She initially spent 8 years as a Branch Chief and a Senior Counsel in the San Francisco office’s enforcement program.
Ms. Snyder has served as the Co-National Associate Director of OCIE’s Investment Company/Investment Adviser examination program since August 2016 and as the Associate Regional Director for Examinations in the SEC’s San Francisco office since November 2011. She will continue in both of these roles while also assuming this additional leadership role in OCIE. As Deputy Director of OCIE, Ms. Snyder will oversee many of the office’s strategic initiatives and serve as the regional advisor to OCIE Director Peter Driscoll.
END NOTES. The SEC announced that Jane Jarcho, Deputy Director of OCIE, will retire from the SEC. Ms. Jarcho, who will leave at the end of August, has served as OCIE’s Deputy Director since 2016, with responsibility for overseeing OCIE’s program areas, including Investment Adviser/Investment Company (IA/IC), Broker-Dealer and Exchange, FINRA and Securities Industry Oversight, and Clearance and Settlement.
Ms. Jarcho also has led the IA/IC examination program since 2013 and under her leadership, the number of IA/IC examinations increased by more than 100%. Ms. Jarcho also led numerous targeted high-risk examination initiatives in areas including cybersecurity, internet and robo-advisers, alternative mutual funds, share class recommendations, retirement accounts, high-yield bond funds, 12b-1 fees and distribution costs, wrap fee accounts, and supervision of individuals with disciplinary history. Additionally, Ms. Jarcho led the creation of the Private Funds Unit and has supervised the unit from its inception in 2014. Prior to joining OCIE, Ms. Jarcho had a distinguished 18-year career in the SEC’s Division of Enforcement.