How Asset Managers can Minimize Risk with the SEC
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How to Minimize the Chance of an Investigation or Enforcement Action by the SEC
Dabney O'Rearden was formerly the co-chief of the Asset Management Unit in the Division of Enforcement of the SEC. We've been speaking about measures that asset managers can take to avoid the potential that the SEC Enforcement Division is going to open an investigation or have them forbid, actually bring an enforcement action. Dabney: Take every opportunity you have to tackle a problem as early as you can.
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