How Asset Managers can Minimize Risk with the SEC

Episode description:

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.

Published: Jul 20 2023