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Ken C. Joseph Named Head of Investment Adviser/Investment Company Examination Program in SEC's New York Regional Office


Washington, D.C., July 3, 2012 —

The Securities and Exchange Commission today announced the appointment of Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York Regional Office.

Mr. Joseph has worked for the past 16 years as a Staff Attorney, Branch Chief, and Assistant Director in the SEC’s Division of Enforcement in Washington, D.C., and New York. Most recently, Mr. Joseph has been an Assistant Director in the Enforcement Division’s Asset Management Unit, where he has played a leading role in cases involving investment advisers and investment companies, including hedge funds and private equity firms. In his new role, he will manage approximately 100 accountants, examiners, attorneys, and support staff involved in the examination of investment companies and investment advisers in New York and New Jersey.

“Ken brings enormous talent, industry, and enthusiasm for our work. He 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,” said Andrew M. Calamari, Acting Regional Director for the New York Office.

Carlo di Florio, Director of the SEC’s Office of Compliance Inspections and Examinations (OCIE), added, “I am pleased to welcome Ken to his new position. Over his career at the SEC, and most recently as a member of the Asset Management Unit, he has worked extensively with OCIE on critical cases involving investment advisers and investment companies. He will be a significant contributor to the national examination program’s mission to promote compliance, prevent fraud, inform policy, and identify risk at a time of significant regulatory change.”

Mr. Joseph said, “Over the years, I have had the pleasure of working with the dedicated examiners in the New York office on many complex and cutting-edge cases in the investment adviser and investment company areas. It is truly an honor to lead a team that has an unwavering commitment to fostering compliance with the securities laws.”

Mr. Joseph earned his B.S. and M.B.A. degrees from St. John’s University and his J.D. from the University of North Carolina at Chapel Hill School of Law.

OCIE conducts the SEC’s national examination program for investment advisers and investment companies, broker-dealers, self regulatory organizations, clearing agencies, transfer agents, and credit rating agencies to fulfill its mission of promoting compliance, preventing fraud, monitoring risk and informing SEC policy.


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