Steven Peikin Archives

Co-Director of Enforcement Steven Peikin to Leave SEC

The SEC has announced that Steven Peikin is leaving the SEC on August 14, 2020.

August 10, 2020

Tags: SEC Enforcement, Stephanie Avakian, Steven Peikin

The SEC speaks, and CCOs listen.

April 17, 2020

Tags: OCIE, Allison Herren Lee, Columns, Compliance Conference, Dalia Blass, Peter Driscoll, Rick Fleming, SEC Enforcement, Steven Peikin, Takeaways

SEC Guidance on Reg BI, Form CRS Expected This Month, More to Follow Conflicts of Interest Disclosure Around Fees a Top Enforcement Priority

The SEC hopes to issue guidance on Regulation Best Interest and Form CRS later this month, OCIE Director Peter Driscoll told attendees at the IAA’s 2020 Investment Adviser Compliance Conference.

March 09, 2020

Tags: OCIE, Compliance Conference, Peter Driscoll, SEC Enforcement, Steven Peikin

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