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.
“A strong inspections and examinations unit is instrumental to the SEC’s investor protection efforts,” said SEC Chairman Mary Schapiro. “Carlo brings the energy, insight, and experience necessary to ensure that we keep pace with the rapid changes in the industry and continue to build upon the reforms of the past year.”
