FacultyFaculty/Author Profile

Akrivi Mazarakis

U.S. Securities and Exchange Commission
Branch Chief, Office of Chief Counsel, Office of Compliance Inspections and Examinations
Washington, DC, USA


As a Branch Chief in the Office of Chief Counsel for the SEC’s Office of Compliance Inspections and Examinations (OCIE), Vivi provides advice on law, policy, operations, and ethics to examination staff in Washington, DC and in the regional offices. Prior to assuming this role, Vivi conducted examinations of broker-dealers and self-regulatory organizations at the SEC. In addition to her federal government experience, Vivi was a senior associate at several major private law firms in their enforcement and litigation practices, where she represented broker-dealers, investment advisers, and executives of public companies in civil litigation and in investigations by the SEC, the U.S. Department of Justice, and other U.S. regulatory agencies regarding alleged violations of the U.S. securities laws. Vivi has counseled clients on legal and compliance issues as well as best practices in the areas of broker-dealer regulation, the Bank Secrecy Act/anti-money laundering regulations, and the Foreign Corrupt Practices Act and has authored several articles on topic such as cross-border regulation of financial markets, securities compliance and enforcement. She earned a Bachelor of Arts in Political Science and Economics from the University of Houston and graduated from American University with a Juris Doctor as well as a Master of Arts in International Affairs.
Akrivi Mazarakis is associated with the following items:
Web Segment  Web Segment Broker-Dealer Supervisory Themes - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Thursday, February 08, 2018
MP3 Audio  MP3 Audio Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
Transcripts  Transcripts Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 14, 2018, New York, NY
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