How Asset Managers can Minimize Risk with the SEC
Law, disrupted
00:00
The Importance of Self-Reporting to the SEC
There may be circumstances where it does make sense to self-report. When you were co-chief of the asset management unit in the Division of Enforcement, how would these types of problems come to your attention? It would be a referral from those who are doing the review or how. And so when I saw that firms had taken certain remedial measures, it usually came up most starkly with respect to examination referrals.
Transcript
Play full episode
