Multi-Industry Chief Compliance and Ethics Officers

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  Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's...Jul 11, 2012 9:25 AMSCCE Social Media Manager
 

Paula Drake Named Chief Counsel and Chief Compliance and Ethics O...
From: SCCE Social Media Manager
To: Multi-Industry Chief Compliance and Ethics Officers
Posted: Jul 11, 2012 9:25 AM
Subject: Paula Drake Named Chief Counsel and Chief Compliance and Ethics Officer of SEC's Office Of Compliance Inspections and Examinations
Message:
This message has been cross posted to the following eGroups: Investment Management and Multi-Industry Chief Compliance and Ethics Officers .
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Washington, D.C., July 9, 2012 - The Securities and Exchange Commission today announced that Paula Drake has been appointed an Associate Director to serve as Chief Counsel and Chief Compliance and Ethics Officer in the SEC's Office of Compliance Inspections and Examinations (OCIE). Starting August 6, Ms. Drake will oversee a staff of eight lawyers and coordinate the efforts of attorney advisors in the SEC's eleven regional offices.

Ms. Drake served most recently as General Counsel and Chief Operating Officer at Oechsle International Advisors, LLC, where she was involved in all aspects of the investment management business, including registering investment advisers and establishing risk and compliance programs. Ms. Drake has extensive experience managing litigation, regulatory relationships, examinations, audits and internal investigations, and recently completed eight years as a member of the Board of Governors of the Investment Advisers Association.

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

more: http://www.sec.gov/news/press/2012/2012-131.htm

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Thank you,

Eric Newman, Esq., CCEP
Social Media Manager
HCCA/SCCE
eric.newman@corporatecompliance.org
(952) 405-7938
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