The Securities and Exchange Commission has tapped Ken C. Joseph to lead the Investment Advisor/Investment Company Examination program for the New York regional office.
Joseph has been with the SEC for 16 years as a Staff Attorney, Branch Chief and assistant director of the SEC’s Division of Enforcement in Washington, D.C.
As the director of the examination program, Joseph will report to Andrew M. Calamari, the acting regional director of the New York office.
“[Ken] has long been a key contributor in our enforcement efforts and I am very much looking forward to working with him as he applies his considerable skills to our examination efforts,” Calamari said.
The examination office promotes compliance by monitoring investment advisors, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents and credit rating agencies for fraud and other violations.
Joseph replaces James Capezzuto, who served as regional director of the examination program since October of 2010.
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