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Re-release: How Asset Managers can Minimize Risk with the SEC
Manage episode 416096038 series 3321935
Content provided by Law, disrupted. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Law, disrupted or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
John is joined by C. Dabney O'Riordan, partner in Quinn Emanuel’s Los Angeles and DC offices and longest-serving leader of the SEC's Asset Management Unit, who left the agency last year. They discuss the actions an asset manager can take if it identifies a potential issue to minimize its risk of an SEC investigation or enforcement action. Among the actions they discuss for consideration include stopping the conduct and implementing remedial measures such as updating internal policies and procedures, providing additional training to staff, considering hiring a compliance consultant, and making remedial payments if appropriate.
Podcast Link: Law-disrupted.fm
Host: John B. Quinn
Producer: Alexis Hyde
Music and Editing by: Alexander Rossi
136 episodes
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Manage episode 416096038 series 3321935
Content provided by Law, disrupted. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by Law, disrupted or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://player.fm/legal.
John is joined by C. Dabney O'Riordan, partner in Quinn Emanuel’s Los Angeles and DC offices and longest-serving leader of the SEC's Asset Management Unit, who left the agency last year. They discuss the actions an asset manager can take if it identifies a potential issue to minimize its risk of an SEC investigation or enforcement action. Among the actions they discuss for consideration include stopping the conduct and implementing remedial measures such as updating internal policies and procedures, providing additional training to staff, considering hiring a compliance consultant, and making remedial payments if appropriate.
Podcast Link: Law-disrupted.fm
Host: John B. Quinn
Producer: Alexis Hyde
Music and Editing by: Alexander Rossi
136 episodes
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Similar to Law, disrupted
A daily dose of irreverent, offbeat, and informative takes on business & tech news. Hosted by Jon Weigell, Juliet Bennett Rylah, Mark Dent, Ben Berkley, Sara Friedman, Matthew Brown, and Rob Litterst from The Hustle.
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continue reading
River Donaghey grew up in a cult. Or at least that’s what some people called it. His parents called it a “personal-growth seminar group.” Its leader called it “one big happy family.” But there was a dark side to the world River grew up in. One he never heard about as a kid. In the 1970s and 80s, a self-help company called Lifespring took America by storm. Hundreds of thousands of people walked out of Lifespring as true believers, convinced that the seminars had the power to change the world. ...
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Weekly wrap of events of the week peppered with context, commentary and opinion by a superstar panel. Click here to support Newslaundry: http://bit.ly/paytokeepnewsfree Hosted on Acast. See acast.com/privacy for more information.
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Find distressed properties for pennies on the dollar and turn them for huge profits!
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