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.