Gene Gohlke

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  New Hire Roundup: Reinhart Joins Wealthcare Capital, Bowden Goes to SEC

  By Marlene Y. Satter, AdvisorOne  |  October 26, 2011

  This week in new hires, Len Reinhart joined Wealthcare Capital’s board, Andrew J. Bowden was appointed the SEC’s new associate director of advisor exams, and the Senate confirmed Luis Aguilar and Daniel Gallagher as SEC commissioners.

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  SEC Names Legg Mason Exec the New Associate Director of Advisor Exams

  By Melanie Waddell, AdvisorOne  |  October 21, 2011

  The SEC announced on Friday that Andrew J. Bowden has been appointed an associate director to lead the National Investment Adviser/Investment Company Examination Program in the SEC’s Office of Compliance Inspections and Examinations.

• SEC verifying client assets

  By Staff Writer  |  March 12, 2009

  The SEC is giving a heads up to investment advisors, saying it is now contacting clients and other third parties to verify client assets managed...

• SEC Verifying Client Assets

  By Melanie Waddell, AdvisorOne  |  March 10, 2009

  New exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule

• Building Rules

  By Susan B. Weiner  |  May 1, 2006

  Spring is here and with it, increased SEC regulation. All RIAs want to put their clients' interests first. If only compliance didn't cost advisors so...

• SEC Director: Chief Compliance Officers Are Important

  By Staff Writer  |  May 9, 2005

  NEW YORK (HedgeWorld.com) -- Putting in place a competent and empowered chief compliance officer is one of the more important tasks facing hedge fund firms, said Gene Gohlke, associate director for investment company and adviser compliance at the Securities and Exchange Commission. With only nine months to the February 2006...

• Playing by the SEC's Rules

  By Staff Writer  |  May 1, 2004

  Compliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...