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

Top of the Agenda - Compensation
Fund board pay increases in 2023, MPI survey says

Independent mutual fund directors saw an increase in compensation in 2023, on average, although actual compensation levels and percentage adjustments in compensation continue to vary widely ...

10 Things
10 Ways…to improve fund board diversity

Mutual fund directors are increasingly interested in enhancing diversity on their boards. The following practical tips on improving board diversity are derived from discussions with directors, ...