The Securities and Exchange Commission has named Carlo V. di Florio director of the Office of Compliance Inspections and Examinations. He was previously a partner in the financial services regulatory practice at PricewaterhouseCoopers, where is was also known for his expertise in corporate governance, enterprise risk management and regulatory compliance and ethics.
“A strong inspections and examinations unit is instrumental to the SEC’s investor protection efforts,” said SEC Chairman Mary Schapiro. “Investors rely on our examiners to ensure that their financial professionals comply with the law. Carlos brings the energy, insight and experience necessary to ensure that we keep pace with the rapid changes in the industry and continue to build upon the reforms of the past year.”
di Florio said he was “honored to join the SEC during this critical time of financial regulatory reform, to strengthen our examination strategy, structure, training programs, processes and systems, while also recruiting colleagues with valuable new skill sets, including trading strategies, risk management and quantitative analytics.”
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