SEC Names N.Y. Division Head for Investment Exam Program


The Securities and Exchange Commission (SEC) appointed Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York office.



For the past 16 years Joseph has been a staff attorney, branch chief and assistant director in the SEC’s Division of Enforcement in Washington, D.C., and New York. Most recently, he was an assistant director in the division’s asset management unit, where he played a leading role in cases involving investment advisers and investment companies, including hedge funds and private-equity firms.

In his new position, 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. According to Carlo di Florio, director of the SEC’s Office of Compliance Inspections and Examinations (OCIE), the national examination program’s mission is to promote compliance, prevent fraud, inform policy and identify risk at a time of significant regulatory change.

“Over Ken’s 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,” di Florio said.

Joseph holds a bachelor’s of science and a master’s of business administration from St. John’s University, and a juris doctor from the University of North Carolina at Chapel Hill School of Law.