Deputy Associate Regional Director – Chicago Regional Office
- Company:U.S. Securities & Exchange Commission
- Short Bio:Louis Gracia is the Deputy Associate Regional Director in the Investment Adviser – Investment Company Examination Program in the SEC’s Chicago Regional Office. Lou has been with the SEC for over 25 years during which time he has led and supervised numerous examinations of investment advisory firms and mutual fund complexes. Lou has investigated and referred findings for Enforcement action on several ‘40Act related issues including Ponzi schemes, misuse of soft dollars, undisclosed principal transactions, false hedge fund valuation, false/misleading advertising, custody rule non-compliance, failure to supervise and inadequate compliance policies and procedures. Lou has spoken at several previous Compliance Outreach events, NASAA conferences, NSCP conferences and National Examination Program training courses. Lou has also represented the SEC at numerous examiner recruitment and investor outreach events. Lou holds a B.S. in Accounting from the University of Illinois at Chicago. He currently holds a CPA license in the state of Illinois and the CFE designation.
April 21, 2020, 10:15
2020 Regulatory Interchange – April 21 (CANCELLED)