In the Margins

NY adviser, company exam chief Joseph to leave SEC

September 19, 2017

By Securities and Exchange Commission

Ken C. Joseph, head of the Investment Adviser/Investment Company Examination Program in the Securities and Exchange Commission's New York regional office, is planning to leave the agency. Since 2012, Joseph has led a team of more than 130 accountants, examiners, attorneys, and support staff responsible for the examination of investment companies and investment advisers in New York and New Jersey. During that time, the IA/IC Examination Program in the New York regional office has steadily increased the number of exams of investment advisers and investment companies and has made many changes that have led to a more efficient and effective examination program. Read the announcement from the SEC.

 

 

Most Read

A Seat at the Table
Invesco Funds board finalizes succession plans

The Invesco Funds board will name Christopher Wilson vice chairman at its June meeting, making him the heir apparent to long-serving independent Chair Bruce Crockett. Crockett ...

Top of the Agenda - Compensation
Fund board comp moves up, as industry keeps changing

Analyzing mutual fund director compensation data is getting increasingly difficult as consolidation reshapes the mid-sized to large end of the market and a reduction in stand-alone ...

Top of the Agenda - Industry Groups
IDC's Amy Lancellotta to retire at year-end

Amy Lancellotta will retire from the Independent Directors Council at the end of this year after 13 years as managing director and a total of 30 ...