In the Margins

SEC names new chief counsel at OCIE

February 18, 2016

By Securities and Exchange Commission

The Securities and Exchange Commission has named Daniel S. Kahl chief counsel of its Office of Compliance Inspections and Examinations. He will oversee a staff of 15 lawyers and advise OCIE’s leadership on legal, technical, and policy matters regarding the agency’s National Exam Program. Kahl joined the Division of Investment Management in 2001 as a counsel and was later promoted to branch chief, and for the past five years he has been assistant director of the division’s Investment Adviser Regulation Office. Read the original release from the SEC.

 

 

Most Read

Top of the Agenda - Governance
Q&A: Converting open-end funds to ETFs

Guinness Atkinson Funds made history last year when it completed the industry’s first conversions from open-end mutual fund to exchange-traded fund. Since then, a number of ...