AI-powered
podcast player
Listen to all your favourite podcasts with AI-powered features
4min chapter
How Asset Managers can Minimize Risk with the SEC
Law, disrupted
The SEC's Whistleblower Awards
If an asset manager identifies an issue, it's better if they actually address it themselves before the SEC discovers it. But what are the chances that someone's gonna get caught? I assume that it can take these, taking these remedial steps can be expensive and time-consuming. The older the conduct gets, the less attractive it is to the SEC when they finally do discover the issue. If you find a problem, the key is just to stop it.
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