by Lori Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
at the SIFMA Compliance and Legal Division January General Luncheon Meeting in New York, N.Y.
As a matter of policy the SEC disclaims responsibility for any private statement by any employee. The speaker's views are her own, and do not necessarily reflect those of the Commission, the Commissioners, or other members of the staff.
Good morning and happy new year! I'm very pleased to be here with you today — while I am a reliable speaker at the Compliance and Legal Division's Annual Meeting, I have not been fortunate to speak at this monthly luncheon for some time.
I'm happy to talk with you, as I view compliance professionals and the work you do as so terribly critical to the effective functioning of our markets and to the protection of investors. As compliance professionals, you are a key constituency of ours, and I view you as important allies in our work to protect investors. And with current unsettled conditions and today's immediate compliance challenges on your plate, your work could not be more important.
See full Speech.
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