Carlo di Florio

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  SEC Names Calamari Head of New York Regional Office

  By Melanie Waddell, AdvisorOne  |  October 19, 2012

  The office has responsibility for more than 4,000 investment banks, investment advisors, broker-dealers, mutual funds and hedge funds.

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  Protecting Confidential Data: What BDs Do Right, Wrong

  By Melanie Waddell, AdvisorOne  |  September 28, 2012

  An SEC report describes strengths and weaknesses found in exams into how broker-dealers keep material nonpublic information from being misused.

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  SEC Names Bowden Deputy Director of Exam Division

  By Melanie Waddell, AdvisorOne  |  September 12, 2012

  The SEC announced Wednesday that Andrew J. Bowden has been named deputy director of the agency’s Office of Compliance Inspections and Examinations (OCIE).

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  SEC Names Drake as Chief Compliance and Ethics Officer for OCIE

  By Melanie Waddell, AdvisorOne  |  July 9, 2012

  OCIE director Carlo diFlorio says Paula Drake will help OCIE “with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team.”

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  SEC Issues Risk Alert on BDs’ Due-Diligence Duties for Municipal Securities

  By Melanie Waddell, AdvisorOne  |  March 19, 2012

  Citing a lack of due diligence by broker-dealers, the SEC on Monday issued a Risk Alert on compliance measures to help BDs fulfill their due-diligence duties when underwriting offerings of municipal securities.

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  SEC Adds 130 Examiners for ‘Priority’ Areas: Exam Chief di Florio

  By Melanie Waddell, AdvisorOne  |  March 15, 2012

  Carlo di Florio, director of OCIE, told CCOs that the SEC has hired 130 new examiners over the last 18 months and that the agency is focusing on three 'priority' areas when it comes to advisory firms.

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  SEC Issues Risk Alert on Unauthorized Trading in Brokerage, Advisory Accounts

  By Melanie Waddell, AdvisorOne  |  February 28, 2012

  The Risk Alert issued by the SEC warns that although BDs and RIAs are subject to different regulatory requirements, both face similar risks of financial and reputational losses arising from unauthorized trading.

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  Social Media and You

  By Melanie Waddell, AdvisorOne  |  February 1, 2012

  Social media: Those two words have become ever present in our daily lives and it’s safe to say that, to some extent, a good portion of us use a social media outlet on a daily basis.

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  SEC: Senior Management and Boards That Fail to Support Compliance Face Most Scrutiny

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  Carlo di Florio, director of the SEC’s Office of Compliance Inspections and Examinations, said Tuesday that the SEC is bent on “elevating” the role of compliance by “underscoring that it is not a responsibility that stops at the desk of the CCO."

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  SEC Exam Chief to AdvisorOne: SRO Option Still Viable

  By Melanie Waddell, AdvisorOne  |  January 31, 2012

  Carlo di Florio, director of the SEC's Office of Compliance Inspections and Examinations, told AdvisorOne on Tuesday that the recent boost in funding that the SEC received from Congress is not enough to thwart the need for an advisor SRO.