Compliance Inspections and Examinations discussion, The SEC Speaks, PLI conference

  • Ronald Reagan Building and International Trade Center 1300 Pennsylvania Avenue Northwest Washington, DC, 20004 United States

Patomak CEO Paul Atkins and Patomak President Dan Gallagher participate in the Practising Law Institute panel discussion on Compliance Inspections and Examinations

Compliance Inspections and Examinations

  • OCIE staff reallocation
  • 2017 examination priorities

Speakers: 
Marc Wyatt, Director, Office of Compliance Inspections and Examinations
Thomas J. Butler, Director, Office of Credit Ratings
Peter Driscoll, Associate Director, Office of Risk and Strategy
Askari J. Foy, Associate Director, Technology Controls Program, Office of Compliance Inspections and Examinations
Kevin W. Goodman, Associate Director, FINRA and Securities Industry Oversight (FSIO), Office of Compliance Inspections and Examinations
John S. Polise, Associate Director, National Broker-Dealer Exchange Group (BDX), Office of Compliance Inspections and Examinations
Kristin A. Snyder, Associate Director, Investment Adviser/Investment Company Examination Program and Associate Regional Director for Examinations, San Francisco Regional Office, Office of Compliance Inspections and Examinations

Commentator:
Hon. Paul S. Atkins
Hon. Daniel M. Gallagher

Hon. Harvey L. Pitt