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Financial Services Law Insights and Observations

SEC Announces Senior Staff Changes; New Office of Risk and Strategy

Examination SEC Risk Management


On March 8, the SEC announced a change in senior leadership, naming Robert M. Fisher the Managing Executive of the Office of Compliance Inspections and Examinations (OCIE). Succeeding Peter B. Driscoll, Fisher will be responsible for overseeing the OCIE’s business operations, technology servicers, examiner training, and Tips, Complaints and Referrals programs. The SEC also announced a new Office of Risk and Strategy within its Office of Compliance and Inspections and Examinations, naming Driscoll as its Chief Risk and Strategy Officer. The new office is intended to “consolidate and streamline the OCIE’s risk assessment, market surveillance, and quantitative analysis teams and provide operational risk management and organizational strategy for OCIE.” In his new role as Chief Risk and Strategy Officer, Driscoll will lead the Washington, D.C.-based Investment Adviser/Investment Company examination staff.

In a separate March 10 announcement, the SEC named Anthony S. Kelly Co-Chief of the Enforcement Division’s Asset Management Unit (Unit). Succeeding Julie Riewe, Kelly joins Marshall Sprung to lead the Unit, which focuses on misconduct by investment advisers, investment companies, and private funds.

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