Shows
Law, disruptedRe-release: How Asset Managers can Minimize Risk with the SECJohn 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...
2024-05-0223 minLaw, disruptedHow Asset Managers can Minimize Risk with the SECJohn 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...
2023-06-2823 min
G5 Radio, The Friday Guys@58mm's Sean and Juliette Beavan join us to talk about Between The Devil and Two Black Hearts tour and album Then it's celebrity photographer Gary Lewis with some celebrity dirt then former pornstar and Bunny Ranch contortionist Alexis Fire.2012-07-20-g5radio-guys-at-5
2012-07-281h 38