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Star viewpoint

Get the latest insights, news and opinion from the compliance technology specialists. Find out what’s new, what’s changing and what the future holds in the world of corporate compliance, market abuse and conflict of interest regulations and technology.

Valerie Ruppel

Valerie advises investment advisers and wealth managers on daily operational compliance with U.S. regulatory requirements. She has a deep understanding of regulatory filings, development and implementation of compliance policies and procedures, annual compliance reviews and regulatory mock exams.​ Before Bovill, Valerie served as an Attorney-Advisor at the U.S. Securities and Exchange Commission in the Division of Examinations where she conducted examinations of registered investment advisers and registered investment companies. Valerie also served as Vice-President and Senior Counsel at ALPS Fund Services, Inc., a mutual fund administrator, and Counsel at Empower Retirement.

Looking Ahead With Confidence: 2024 SEC Exam Priorities

Compliance is a hard job. Plain and simple. In recent years it seems that many of those within the..