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The Securities and Exchange Commission has named Carlo di Florio director of the agency’s Office of Compliance Inspections and Examinations. As head of OCIE, di Florio will oversee the SEC’s nationwide examination programs for investment advisers, broker-dealers, mutual funds, credit rating agencies, and self-regulatory organizations among other entities.
Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger
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