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Contenu fourni par Law, disrupted. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par Law, disrupted ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.player.fm/legal.
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Manage episode 416096038 series 3321935
Contenu fourni par Law, disrupted. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par Law, disrupted ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.player.fm/legal.
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Podcast Link: Law-disrupted.fm
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Manage episode 416096038 series 3321935
Contenu fourni par Law, disrupted. Tout le contenu du podcast, y compris les épisodes, les graphiques et les descriptions de podcast, est téléchargé et fourni directement par Law, disrupted ou son partenaire de plateforme de podcast. Si vous pensez que quelqu'un utilise votre œuvre protégée sans votre autorisation, vous pouvez suivre le processus décrit ici https://fr.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.
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