How Asset Managers can Minimize Risk with the SEC
Law, disrupted
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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.
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