SEC Exams Chief Puts Focus On New Technology, New Firms

By Diana Novak Jones (February 5, 2019, 4:09 PM EST) -- The U.S. Securities and Exchange Commission's Office of Compliance Inspections and Examinations is on the front lines of regulating America's capital markets. Responsible for inspecting thousands of SEC-registered firms, the office helps ensure that firms play by the rules and the commission is up to speed with the emerging and persistent risks in the investment industry.

Since October 2017, the office has been under the direction of Peter Driscoll, an SEC veteran who has sought to keep his hundreds of examiners on top of the growing number of new investment advisers and new technologies like cryptocurrency.

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