AI-powered
podcast player
Listen to all your favourite podcasts with AI-powered features
2min chapter
How Asset Managers can Minimize Risk with the SEC
Law, disrupted
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.
00:00
Transcript
Episode notes
Get the Snipd
podcast app
Unlock the knowledge in podcasts with the podcast player of the future.
AI-powered
Discover
highlights
Listen to the best highlights from the podcasts you love and dive into the full episode
Save any
moment
Hear something you like? Tap your headphones to save it with AI-generated key takeaways
Share
& Export
Send highlights to Twitter, WhatsApp or export them to Notion, Readwise & more
AI-powered
podcast player
Listen to all your favourite podcasts with AI-powered features
Discover
highlights
Listen to the best highlights from the podcasts you love and dive into the full episode