FacultyFaculty/Author Profile
Lori Richards

Lori Richards

PwC
Principal, Regulatory Services
Mclean, VA, USA


Lori Richards is a principal with PwC's Financial Services Regulatory practice and assists financial services clients in regulatory and compliance matters, focused on compliance with the federal securities laws. Her clients include mutual funds, hedge funds and private equity funds, broker-dealers, banks and others. 

Lori has deep securities regulatory compliance experience. She spent 24 years as a regulator with the US Securities and Exchange Commission. She is the former Director of the SEC's compliance oversight program, the Office of Compliance Inspections and Examinations (OCIE). As the first director of OCIE, she built and led the SEC's nationwide examination oversight program for all registered broker-dealers, investment advisers, investment companies, hedge funds, transfer agents, clearing agencies, trading markets and self-regulatory organizations for 14 years.

Prior to that, Lori was the senior adviser to the SEC's Chairman on regulatory, policy and operational matters.  Prior to that, she served as Associate Regional Director for enforcement in the SEC's Los Angeles office responsible for conducting enforcement investigations and litigation, and in other positions in the SEC's Division of Enforcement.

Lori has been at the forefront of securities regulatory compliance.  She received numerous honors and awards for distinguished service at the SEC. She is a frequent industry speaker and author of numerous articles on compliance, fraud, and fiduciary responsibility.  She leads PwC's thought leadership efforts on regulatory/compliance issues for asset management and broker-dealer firms, including PwC's "Closer Look" series on the impact of Dodd-Frank, and FS Regulatory briefs on current regulatory/compliance issues.

Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.