Division of Examinations: Speeches

Selected Speeches

2012

• Carlo V. di Florio, Conflicts of Interest and Risk Governance (October 22, 2012)
   
• Norm Champ, What SEC Registration Means for Hedge Fund Advisers (May 11, 2012)
   
• Carlo V. di Florio, Address at the Private Equity International Private Fund Compliance Forum (May 2, 2012)
   
• Carlo V. di Florio, Remarks at the Compliance Outreach Program (January 31, 2012)
   

2011

• Carlo V. di Florio, The Role of Compliance and Ethics in Risk Management, NSCP National Meeting (October 17, 2011)
   
• Carlo V. di Florio, Private Equity International's Private Fund Compliance, New York, N.Y. (May 3, 2011)
   
• Carlo V. di Florio, Keynote address at the SIFMA Anti-Money Laundering Seminar, New York, N.Y. (March 3, 2011)
   
• Carlo V. di Florio, Remarks at the CCOutreach National Seminar, Washington, D.C. (February 8, 2011)

2010

• Carlo V. di Florio, Remarks at SIFMA Compliance and Legal Society December Monthly Luncheon, Washington, D.C. (December 21, 2010)
   
• Carlo V. di Florio, Remarks at the 2010 NSCP National Meeting, Washington, D.C. (November 1, 2010)
   
• Carlo V. di Florio, Remarks at the CCOutreach National Seminar, Washington, D.C. (January 26, 2010)

2009

• Lori Richards, Strengthening Examination Oversight: Changes to Regulatory Examinations, Remarks before the SIFMA Compliance and Legal Division, St. Louis Regional Seminar, The New World of Compliance and Legal, St. Louis, Missouri (June 17, 2009)
   
• Lori Richards, Compliance in Today's Environment: Step Up to the Challenge (March, 12, 2009)

2008

• Lori Richards, The Role That Surveillance Might Play in the Risk-Based Oversight of Mutual Funds (December 16, 2008)
   
• Lori Richards, "Incentivizing Good Compliance" (October 30, 2008)
   
• Lori Richards, Compliance Through Crisis: Focus Areas for SEC Examiners and Compliance Professionals (October 21, 2008)
   
• Lori Richards, "Why Does Fraud Occur and What Can Deter or Prevent it?" (September 9, 2009)
   
• Lori Richards, Focus Areas in SEC Examinations of Investment Advisers: the Top 10 (March 20, 2008)
   
• Lori Richards, Frequently-Asked Questions About SEC Examinations (January 17, 2008)

2007

• Mary Ann Gadziala, Risk Management for Broker-Dealers (November 28, 2007)
   
• Lori Richards, Welcome and Closing Remarks Before the CCOutreach National Seminar (November 14, 2007)
   
• Gene Gohlke, If I Were a Director of a Fund Investing in Derivatives — Key Areas of Risk on Which I Would Focus (November 8, 2007)
   
• Lori Richards, Working Towards a Culture of Compliance: Some Obstacles in the Path (October 18, 2007)
   
• Mary Ann Gadziala, The Regulatory Focus on Broker-Dealer Legal and Compliance Issues (June 7, 2007)
   
• Lori A. Richards, SEC's Compliance Examinations in the Protection of Investors, Remarks at the 9th Annual IA Compliance Best Practices Summit 2007, IA Week and the Investment Adviser Association (March 23, 2007)
   

2006

• Lori A. Richards, Remarks at the 2006 Securities Law Developments Conference Investment Company Institute (December 5, 2006)
   
• Lori A. Richards, Welcome and Closing Remarks CCOutreach National Seminar (November 14, 2006)
   
• Mary Ann Gadziala, International Financial Institutions Examination Issues: A Regulatory Perspective Annual Regulatory Examination and Compliance Seminar Institute of International Bankers (October 31, 2006)
   
• Mary Ann Gadziala, Broker-Dealer Examination and Compliance Developments Remarks before the National Society of Compliance Professionals 2006 NSCP National Membership Meeting (October 19, 2006)
   
• Lori A. Richards, The Process of Compliance (October 19, 2006)
   
• Mary Ann Gadziala, A Regulatory View — Broker-Dealer Internal Audit/Compliance Priorities (October 17, 2006)
   
• John. H. Walsh, Compliance Professionals versus Identity Thieves (Oct. 5, 2006)
   
• Mary Ann Gadziala, Structured Finance Activities: The Regulatory Viewpoint (September 20, 2006)
   
• Mary Ann Gadziala, Regulatory Examination Programs — Focus and Significant Findings: Remarks at the SIA Compliance and Legal Division June Monthly Luncheon (June 22, 2006)
   
• Lori A. Richards, Transparency in Regulatory Examinations (June 20, 2006)
   
• Mary Ann Gadziala, Comprehensive Compliance Examinations for Securities Firms (May 16, 2006)
   
• John H. Walsh, Remarks before the NRS 21st Annual Spring Compliance Conference (April 18, 2006)
   
• Lori A. Richards, Anti-Money Laundering in 2006: It's the Total Mix (March 29, 2006)
   
• Lori A. Richards, Fiduciary Duty: Return to First Principles (February 27, 2006)
   
• Mary Ann Gadziala, The SEC Examination Program: Coordination and Priorities (February 7, 2006)
   

2005

• Lori A. Richards, Conflicts of Interest in Pension Consulting: An Update on the SEC's Examinations (December 5, 2005)
   
• Mary Ann Gadziala, Integrating Audit and Compliance Disciplines within the Risk Management Framework (November 30, 2005)
   
• Gene A. Gohlke, Remarks before the Fund of Funds Forum (November 14, 2005)
   
• Mary Ann Gadziala, Remarks before the Institute of International Bankers' Annual Regulatory Examination and Compliance Seminar (October 27, 2005)
   
• Lori Richards, Remarks before the National Society of Compliance Professionals National Membership Meeting (October 25, 2005)
   
• Mary Ann Gadziala, Remarks before the SIA Compliance and Legal Division Regional Seminar (October 19, 2005)
   
• Lori Richards, Remarks before the Securities Industry Association, Internal Auditors Division 2005 Annual Conference (October 18, 2005)
   
• Lori Richards, Remarks before the: Greater Cincinnati Mutual Fund Association Directors' Workshop (September 22, 2005)
   
• Mary Ann Gadziala, Rebuilding Ethics and Compliance in the Securities Industry (June 23, 2005)
   
• Gene Gohlke, Managed Funds Association Educational Seminar Series 2005: Practical Guidance for Hedge Fund CCOs under the SEC's New Regulatory Framework (May 5, 2005)
   
• Lori Richards, Compliance: Some Core Principles (April 20, 2005)
   
• Lori Richards, Remarks before the Investment Adviser Compliance Best Practices Summit: Compliance Programs: Our Shared Mission (February 28, 2005)
   

2004

• Lori Richards, Instilling Lasting and Meaningful Changes in Compliance (October 28, 2004)
   
• Lori Richards, An Update on the SEC's Examination Program (October 13, 2004)
   
• Mary Ann Gadziala, The Enhanced Focus on Risk and Controls (September 15, 2004)
   
• Mary Ann Gadziala, Effective Branch Office Supervision Fosters Investor Protection (July 13, 2004)
   
• Lori Richards, The New Compliance Rule: An Opportunity for Change (June 30, 2004)
   
• Mary Ann Gadziala, The Dawning of a New Era in the Industry: Will You Be Prepared? (June 15, 2004)
   
• Mary Ann Gadziala, Assuring Comprehensive Compliance; Managing Compliance Risks (April 28, 2004)
   
• Lori Richards, "The Need for More Proactive Risk Assessment" to NRS (April 14, 2004)
   
• Lori Richards, IA Compliance Best Practices (March 15, 2004)
   
• Mary Ann Gadziala, The Vital Role of Effective Comprehensive Compliance Controls at Broker-Dealers (February 4, 2004)
   
• Lori Richards, Current Examination and Enforcement Issues (October 29, 2003)
   
• Lori Richards, Keeping Pace with the Speed of Change for Small Firms: Perspectives from the SEC (October 9, 2003)

See Also: Speeches and Statements by Commission Staff