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Deals & People October 21, 2011
SEC Names Head of RIA Examination Office
The Securities and Exchange Commission (SEC) selected Andrew J.
Bowden to be Associate Director of the National
Investment Adviser/Investment Company Examination Program.
Reported by PLANADVISER staff
Based in the SEC’s Office of Compliance Inspections and Examinations (OCIE), Bowden will oversee a staff of approximately 450 lawyers, accountants, and examiners responsible for the inspections of U.S.-registered investment advisers (RIAs) and investment companies. Bowden will begin on November 1 and succeeds Gene Gohlke, who retired from the agency earlier this year after 35 years of public service. Since Gohlke’s retirement, OCIE Deputy Director Norm Champ has served as the Acting Associate Director of the program.
Early in his career, Bowden worked at Legg Mason, Inc., and for Legg Mason Capital Management in various roles, including General Counsel, Chief Operating Officer, and ultimately Executive Director for Sales, Client Service and Marketing. He has also served on the Board of Governors and Executive Committee of the Investment Advisers Association.
Bowden holds a Bachelor of Arts in English from Loyola University in Baltimore and a law degree from The University of Pennsylvania.« Sponsors at Higher Ed Institutions Seek Help with Fiduciary Process