During a recent speech, Peter Driscoll, director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations, focused on the role of compliance officers in creating firm culture and protecting retail investors.
“In OCIE, our efforts are primarily directed at examinations, risk-assessment, and industry and investor outreach,” Driscoll, a past Compliance Week Top Minds recipient, said. “It is imperative that OCIE continually ask itself how best it can deploy its resources to protect the retail investor through primarily examinations, but also outreach and partnering with compliance officers.”
