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Treść dostarczona przez Law, disrupted. Cała zawartość podcastów, w tym odcinki, grafika i opisy podcastów, jest przesyłana i udostępniana bezpośrednio przez Law, disrupted lub jego partnera na platformie podcastów. Jeśli uważasz, że ktoś wykorzystuje Twoje dzieło chronione prawem autorskim bez Twojej zgody, możesz postępować zgodnie z procedurą opisaną tutaj https://pl.player.fm/legal.
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Re-release: How Asset Managers can Minimize Risk with the SEC
Manage episode 416096038 series 3321935
Treść dostarczona przez Law, disrupted. Cała zawartość podcastów, w tym odcinki, grafika i opisy podcastów, jest przesyłana i udostępniana bezpośrednio przez Law, disrupted lub jego partnera na platformie podcastów. Jeśli uważasz, że ktoś wykorzystuje Twoje dzieło chronione prawem autorskim bez Twojej zgody, możesz postępować zgodnie z procedurą opisaną tutaj https://pl.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
133 odcinków
Udostępnij
Manage episode 416096038 series 3321935
Treść dostarczona przez Law, disrupted. Cała zawartość podcastów, w tym odcinki, grafika i opisy podcastów, jest przesyłana i udostępniana bezpośrednio przez Law, disrupted lub jego partnera na platformie podcastów. Jeśli uważasz, że ktoś wykorzystuje Twoje dzieło chronione prawem autorskim bez Twojej zgody, możesz postępować zgodnie z procedurą opisaną tutaj https://pl.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
133 odcinków
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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
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continue reading
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Find distressed properties for pennies on the dollar and turn them for huge profits!
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