01/06/2010 07:18:54 AM EST
Di Florio New Director of OCIE
Securities and Exchange Commission Chairman Mary L. Schapiro announced that Carlo V. di Florio has been named Director of the agency’s Office of Compliance Inspections and Examinations (OCIE).
Mr. di Florio came to the SEC from PricewaterhouseCoopers (PwC), where he was a partner in the Financial Services Regulatory Practice. As head of OCIE, Mr. di Florio will oversee the SEC’s nationwide examination programs for investment advisers, broker-dealers, mutual funds, credit rating agencies and self-regulatory organizations among other entities.
At PwC, Mr. di Florio played a leading role in strengthening the corporate governance, risk management and regulatory compliance practice and defining new industry standards, including the Committee of Sponsoring Organizations (COSO) Enterprise Risk Management standard and the Open Compliance and Ethics Guidelines (OCEG).