More On Legal & Compliancefrom The Advisor's Professional Library
- Trading Practices and Errors When SEC-registered investment advisors conduct annual audits of firm policies and procedures, they should pay close attention to trading practices. Though usually not required to, state-registered advisors should look at their trading practices and revise policies that do not fully protect clients.
- Regulatory Oversight of Investment Advisors Although the regulatory environment is in a state of flux, it is imperative that RIAs adhere to their compliance obligations. To ensure compliance, RIAs and IARs must fully understand what those obligations are.
The Securities and Exchange Commission announced Tuesday that Jane Jarcho has been named national associate director of the investment adviser/investment company examination program in the Office of Compliance Inspections and Examinations (OCIE).
Jarcho, who will oversee a staff of approximately 450 lawyers, accountants and examiners responsible for inspections of U.S.-registered investment advisors and investment companies, has been the acting national associate director of the program since March.
She joined the SEC in 1990 and previously served as the associate director of the IA/IC examination program in the SEC’s Chicago regional office.
“Jane brings a wealth of experience that will help us to continue to strengthen our risk-based approach to the examination of investment advisers and investment companies,” said OCIE Director Andrew Bowden, in a statement.
Jarcho added in the same statement that she is “honored and excited for the opportunity to work with the IA/IC examination staff in Washington, D.C. and throughout the country.” Having worked alongside the IA/IC staff for several years, Jarcho said she knew “they are a dedicated group of professionals who are committed to protecting investors by promoting compliance, informing policy, and detecting wrongdoing.”
Jarcho began her SEC career in the Division of Enforcement and held several positions including branch chief, senior trial counsel and assistant regional director before joining OCIE in 2008.
She has a B.A. from Middlebury College and a law degree from the University of Wisconsin Law School.
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