LPL Financial Promotes Compliance Chief to Managing Director
Sharyn Handlesman has been with the indie BD, which had regulatory charges of $36 million last year, since 2010.
SEC Names Drake as Chief Compliance and Ethics Officer for OCIE
OCIE director Carlo diFlorio says Paula Drake will help OCIE “with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team.”
Congress Could Ease SEC Hiring of New Accountants
WASHINGTON (HedgeWorld.com)--A subcommittee of the House of Representatives has approved a bill that addresses the staffing problems at the Securities and Exchange Commission--the Accountant, Compliance,...