Re-release: How Asset Managers can Minimize Risk with the SEC
Listen now
Description
John is joined by 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, who left the agency last year. They discuss the actions an asset manager can take if it identifies a potential issue to minimize its risk of an SEC investigation or enforcement action. Among the actions they discuss for consideration include stopping the conduct and implementing remedial measures such as updating internal polic...
More Episodes
John Quinn is joined by Karl Hennessee, Senior Vice President and Head of Litigation, Investigations, and Regulatory Affairs at Airbus. Karl supervises Airbus’s criminal investigations, regulatory cases, product liability cases, and commercial arbitration disputes, covering incidents as...
Published 10/31/24
Guests: Luke Nikas, partner in Quinn Emanuel’s New York office and Quinn Emanuel associates Sara Clark, Jennifer Stern, and Stephanie KelemenJohn is joined by four members of the trial team that obtained a dismissal of all charges in the recent New Mexico manslaughter case against Alec Baldwin. ...
Published 10/24/24
Published 10/24/24