The Securities and Exchange Commission today announced that Daniel Kahl has been named Deputy Director of the agency’s Office of Compliance Inspections and Examinations (OCIE). Mr. Kahl has been with the SEC for over 17 years, serving as OCIE’s Chief Counsel since February 2016. He will continue to serve as Chief Counsel while also assuming this additional leadership role in OCIE. As a Deputy Director, Mr. Kahl will be based in Washington, D.C. and, together with current Deputy Director Kristin Snyder, will oversee many of OCIE’s strategic initiatives, as well as advise OCIE’s leadership on legal, strategic, and policy matters regarding the agency’s National Exam Program.
“The Commission has benefited from Dan’s knowledge and leadership for almost two decades,” said SEC Chairman Jay Clayton. “I’m glad that he will continue to serve our investors and our markets in his expanded role at OCIE.”
“Dan is a talented leader with sound judgment and extensive expertise in regulatory and policy matters affecting the Commission and OCIE,” said OCIE Director Peter B. Driscoll. “I’m excited Dan will serve as a Deputy Director, helping Kristin Snyder and me lead the National Exam Program.”
Mr. Kahl said, “I’m excited to take on this additional role and continue to work with Pete, Kristin, and the entire nationwide OCIE team as we execute on our shared mission to protect Main Street and other investors through promoting compliance and monitoring risk at SEC-registered firms.”
Mr. Kahl joined the SEC in April 2001, most recently serving as OCIE’s Chief Counsel, where he advised leadership on legal, strategic, and policy matters regarding the agency’s National Exam Program. Before joining OCIE, Mr. Kahl led the Division of Investment Management’s Office of Investment Adviser Regulation. Earlier, Mr. Kahl was an attorney at the Investment Adviser Association, FINRA, and the North American Securities Administrators Association (NASAA). Mr. Kahl holds a B.S. from Penn State University, a J.D. from Southern Methodist University, and an LL.M. from Georgetown University Law Center.
OCIE conducts the SEC’s National Examination Program through examinations and inspections of SEC-registered investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, and transfer agents. It uses a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.
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