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C. Dabney O'Riordan

Partner in Quinn Emanuel’s Los Angeles and DC offices and longest-serving leader of the SEC's Asset Management Unit

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May 2, 2024 • 23min

Re-release: How Asset Managers can Minimize Risk with the SEC

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.