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U.S. Securities and Exchange Commission

James Capezzuto Named Associate Regional Director for Examinations in SEC New York Regional Office


Washington, D.C., Oct. 14, 2010 — The Securities and Exchange Commission today announced the selection of James A. Capezzuto as Associate Regional Director for Examinations in the agency's New York Regional Office.

Mr. Capezzuto succeeds Norm Champ, who was appointed Deputy Director of the SEC's Office of Compliance, Inspections and Examinations in June. Mr. Capezzuto will direct a staff of approximately 100 accountants and examiners responsible for the inspections of investment advisers and investment companies within the New York region. Mr. Capezzuto, who has been serving as Acting Associate Regional Director, will immediately assume his new post.

"Jim Capezzuto brings to our inspection program vast experience in the investment management industry, mastery of the securities laws, and a record of outstanding leadership within the SEC," said George S. Canellos, Director of the SEC's New York Regional Office. "His unique blend of talents, integrity and complete dedication to the mission of the SEC make him ideally suited to lead our investment management exam program."

Carlo di Florio, Director of the SEC's Office of Compliance Inspections and Examinations, added, "Jim brings terrific knowledge of the industry and proven leadership skills to the job of overseeing compliance examinations of investment advisers and investment companies in an important period of transition for our national exam program."

Mr. Capezzuto said, "I am honored and look forward to continuing to work with my talented and dedicated colleagues in the examination program in the New York Regional Office and throughout the SEC. I hope to build on the spirit of collaboration in the office and support of the SEC's mission to protect investors during this time of significant change."

For the past three years, Mr. Capezzuto has served as Senior Attorney Adviser within the investment management examination program of the SEC's New York Regional Office.

Before joining the SEC in 2007, Mr. Capezzuto served for 18 years in legal and compliance positions in the investment management industry, including as U.S. Counsel and Chief Compliance Officer of Aberdeen Asset Management, Director and Associate General Counsel of UBS Global Asset Management, and Senior Vice President and Chief Compliance Officer at Bank of America Alternative Investments.

Mr. Capezzuto received a bachelor's degree from the University at Buffalo in 1985 and a juris doctor degree from New York Law School in 1990.

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Modified: 10/14/2010