enterprise risk management

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  SEC Exam Chief Di Florio Jumps to FINRA Post

  By Melanie Waddell, AdvisorOne  |  May 2, 2013

  In a surprising move, Carlo di Florio will leave the agency and become an executive vice president of FINRA.

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  SEC Lays Out Advisor Exam Priorities for 2013

  By Melanie Waddell, AdvisorOne  |  February 22, 2013

  The regulator's top concerns include new, never-regulated advisor registrants and dually registered advisors.

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  New Hire Roundup: Horan Goes to Chilton, Pan Moves Up at SEC, CFP Board Gains Myers

  By Marlene Y. Satter, AdvisorOne  |  December 8, 2011

  This week in new hires, Timothy Horan moved to Chilton Private Clients, with a team of four; Eric Pan joined the SEC; Roger C. Myers, Jr. was named CFO at the CFP Board; and Neuberger Berman added four new wholesalers.

• The Hartford Names George Eknaian Chief Actuary for Wealth Management

  By Joyce Hanson, AdvisorOne  |  July 22, 2010

  The Hartford Financial Services Group announced Thursday, July 22, the selection of George Eknaian as chief actuary for the firm's Wealth Management businesses.