By
Joe Mont2017-05-09T11:30:00
Under Peter Driscoll’s lead, the SEC Office of Compliance Inspections and Examinations uses a risk-based approach to fulfill its mission to promote compliance with U.S. securities laws.
2019-05-15T19:44:00Z By Joe Mont
Peter Driscoll, director of the SEC’s Office of Compliance Inspections and Examinations, recently spoke on the role of compliance officers in protecting retail investors.
2025-12-05T19:25:00Z By Oscar Gonzalez
The U.S. Securities and Exchange Commission’s (SEC) Division of Examinations released its 2026 examination priorities, which give companies a roadmap of areas of heightened risk and regulatory focus for next year.
2025-12-03T17:18:00Z By Adrianne Appel
A San Francisco-based private equity firm has agreed to pay $11.4 million to settle allegations it violated U.S. sanctions rules by handling investments for a sanctioned Russian oligarch.
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