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Law, disrupted
Re-release: How Asset Managers can Minimize Risk with the SEC
May 2, 2024
C. Dabney O'Riordan, former leader of SEC's Asset Management Unit, discusses minimizing SEC risk for asset managers by taking proactive steps like self-identification, updating policies, providing training, hiring compliance consultants, and making remedial payments if needed.
23:25
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Quick takeaways
- Proactively addressing potential issues can minimize the risk of SEC investigations for asset managers.
- Taking remedial actions like policy updates and additional training can showcase accountability and prevent future misconduct.
Deep dives
Responsibilities of Asset Management Unit in the SEC
The Asset Management Unit in the SEC was formed after the financial crisis to delve into the rules and laws governing asset managers. Dabney O'Reardon was the co-chief of this unit, specializing in investigating and litigating cases within the asset management industry. She held various roles in the unit for 13 years, with a focus on deciding investigations based on initial assessments.
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Discover
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