Key Issues for Investment Management Firms
What are the challenges regulated investment management firms are facing when using the internet?
We asked Jane Jarcho, the former Deputy Director of the SEC's Office of Compliance, Inspection, and Examinations (OCIE) and head of the National Investment Adviser and Investment Company Exam program, who recently joined the Promontory Financial Group as a consultant on regulatory and exam issues.
At the OCIE, Jane Jarcho oversaw its program areas, including Investment Adviser/Investment Company (IA/IC), Broker-Dealer and Exchange, FINRA and Securities Industry Oversight, and Clearance and Settlement. Ms. Jarcho also led the IA/IC examination program. Under her leadership, the number of IA/IC examinations increased by more than 100 percent.
The interview was conducted by Chirag Vasavada, Head of Business Operations at Authentic8.
Chirag Vasavada: Jane, given your tenure and experience across the SEC's program areas, you're in an ideal position to speak to the challenges faced by regulated entities today. The industry is under