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Keynote Address: A Conversation with the SEC’s Division of Examinations Director, Peter Driscoll
A conversation with the Division of Examinations Director, Peter Driscoll and Kurt Wachholz, NRS Education Director regarding the conference theme of resiliency and reliance.
This session is part of the Spring 2021 Virtual Compliance Conference. To learn more, visit our main conference webpage.
Director, Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission
Peter Driscoll, CPA, is Director of the U.S. Securities and Exchange Commission’s Division of Examinations. He previously served as Acting Director, as the Office of Compliance Inspections and Examinations’ first Chief Risk and Strategy Officer, and as its Managing Executive from 2013 through February 2016.
He joined the SEC in 2001 as a staff attorney in the Division of Enforcement in the Chicago Regional Office and was later a Branch Chief and Assistant Regional Director in the Office of Compliance Inspections and Examinations’ Investment Adviser and Investment Company examination program. Prior to the SEC,
Mr. Driscoll began his career with Ernst & Young LLP and held several accounting positions in private industry. He received his B.S. in Accounting and law degree from St. Louis University. He is licensed as a certified public accountant and is a member of the Missouri Bar Association.
For Whom: Designed to increase the professional competence of Investment Advisers and Broker-Dealers
Maximum Recommended Credit Hours for this Keynote Address will include CLE, IACCP® and CPE.
CA MCLE = 60 minutes
IACCP® = 60 minutes
CPE = 60 minutes
For more information, check out the NRS Continuing Education Guide.