Aggregated News From Investment Management Regulators

SEC Names John Moses Managing Executive in Chairman’s Office

Report/Flag

Please complete the required fields.



The Securities and Exchange Commission today announced that John Moses has been named the Managing Executive in the Office of Chairman Jay Clayton.  As Managing Executive, Mr. Moses will advise the Chairman on matters relating to agency administration, operations and management, and will serve as the Chairman’s primary liaison to divisions and offices on these matters.  

Mr. Moses was previously the Deputy Director in the SEC’s Office of Minority and Women Inclusion (OMWI). In this position, he played a key role in the agency’s efforts to promote diversity, inclusion and opportunity, including establishing an SEC mentoring program, supporting opportunities to facilitate greater access to capital for women- and minority-owned businesses, and drafting the agency’s Diversity and Inclusion Strategic Plan. He also helped lead the SEC’s supplier diversity initiatives.

“I am pleased to welcome John to the office,” said Chairman Clayton. “I have enjoyed working with John in his role as Deputy Director of OMWI and am confident his leadership, business and operational experience, and passion for public service make him an ideal fit for this role. I look forward to benefiting from John’s proven advice and strong relationships across the SEC.”

Mr. Moses added, “I am excited to work with Chairman Clayton, his talented senior team, and the dedicated staff throughout the agency. It is an honor to have this opportunity to continue to serve the SEC and support its important mission.”

A veteran of the U.S. Navy, Mr. Moses’ military service includes deployments as a surface warfare officer and security team leader during Operation Iraqi Freedom. Prior to the SEC, he worked in the private sector in the technology and hospitality industries. Mr. Moses received undergraduate and graduate degrees from Stanford University and his M.B.A from Harvard Business School.

The SEC also announced that Lisa Trueba Roberts has joined OMWI as Acting Deputy Director. Ms. Roberts joined the agency in 1991 and most recently was the Chief Attorney Advisor to the Regional Director of the SEC’s Miami Regional Office. Ms. Roberts earned her undergraduate degree from the University of Florida and her J.D. from the University of Miami School of Law.

Regulator Information

Abbreviation: SEC
Jurisdiction: United States

Recent Articles

Taxonomy Article 8: The AMF informs issuers about the phased application of reporting requirements

Companies subject to the new reporting obligations The requirement to deliver sustainability indicators under Article 8 of the Taxonomy Regulation will apply, as of 01/01/2022, to companies subject t

IIROC Re-elects five Board Directors

View the Press Release from the Investment Industry Regulatory Organization of Canada (IIROC CA) here: Source link

DLG Bonds / Direct Line Group PLC (Clone of FCA authorised firms and UK registered companies)

Fraudsters are using the details of firms we authorise to try to convince people that they work for a genuine, authorised firm. Find out...

Certification Examination Results for August 2021

See the Details published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Get the latest from Regulatory.News in your inbox!

×