Carlo V. di Florio, a former partner in PricewaterhouseCoopers Financial Services Regulatory Practice, has been named director of the SECs Office of Compliance Inspections and Examinations.
Di Florio was formerly one of PwCs national leaders in corporate governance, enterprise risk management, regulatory compliance and ethics. As head of the SEC office, he will oversee the commissions nationwide examination programs for investment advisers, broker-dealers, mutual funds, credit-rating agencies, self-regulatory organizations and other entities.
Di Florio has been involved in defining new industry standards, including the Committee of Sponsoring Organizations Enterprise Risk Management standard and the Open Compliance and Ethics Guidelines. In addition to helping financial institutions strengthen their corporate governance and regulatory compliance programs, he has been assigned to high-profile engagements investigating corporate fraud, corruption, conflicts of interest and money laundering around the world.
Carlo brings the energy, insight, and experience necessary to ensure that we keep pace with the rapid changes in the industry and continue to build upon the reforms of the past year, said SEC Chair Mary Schapiro in a statement.
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