Henry Hu drives change at the SEC

The game changer


In contrast to the Securities and Exchange Commission’s (SEC) other four frontline divisions – enforcement, trading and markets, investment management, and corporation finance – Risk Fin, its new division of risk, strategy and financial innovation, was intended to be a think tank, supporting the agency’s new duties in overseeing systemic risk and complex financial instruments. This was a response to the SEC’s recognition that it had fallen behind the industry in