SEC Names Osnato to Head Complex Products Unit
The unit, formerly known as the Structured and New Products Unit, was created along with four other specialized enforcement units in 2010.
Canellos Departs SEC, Leaving Ceresney to Lead Enforcement
As was expected, the co-director of Enforcement will leave agency after 4 1/2 years, leaving Chairwoman White’s longtime lieutenant to lead the division.
How the SEC Plans to Be ‘Everywhere’
Despite limited resources, the agency is leveraging its strengths to zero in on advisors’ smallest infractions.
SEC Puts Fund Directors in Spotlight
The SEC enforcement division will put a heightened focus on fund boards’ approval of advisor fees, the co-director of the division said Wednesday.
SEC Comings and Goings: Canellos, Ceresney Named Co-Heads of Enforcement
SEC Chairwoman Mary Jo White has named her former colleague Andrew Ceresney and acting enforcement director George Canellos co-directors of the enforcement division.
What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are Pursuing
What are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.
SEC Names Acting, Deputy Directors of Enforcement
The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.
SEC Names Martinez Chief of Market Intelligence
The SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Division’s Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.
SEC’s Top Cops Blast Columbia Law Professor Over ‘Inaccurate’ Enforcement Stats
The SEC’s two top enforcers, Robert Khuzami and George Canellos, are coming out against a recent article titled "SEC enforcement: What has gone wrong?"
SEC’s Top Cop, Khuzami, to Leave
The SEC’s top cop, Robert Khuzami, plans to leave the agency later this month after four years as its enforcement director, the SEC announced Wednesday.