Compliance and Enforcement Considerations for Private Funds & RIAs
inSecurities
English - March 30, 2023 14:47 - 50 minutes - 70.1 MBNews Business Non-Profit Homepage Download Google Podcasts Overcast Castro Pocket Casts RSS feed
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On this episode of the inSecurities, Dabney O’Riordan, a partner at the law firm Quinn Emanuel and a former head of the SEC Enforcement Division’s Asset Management Unit (AMU), discusses the enforcement focus on private funds, registered investment advisers, and broker-dealers. She also explains the Enforcement Division’s focus on compliance with recordkeeping requirements for text messages and other “off-channel communications,” the SEC’s marketing rule, and ESG-related investment products and strategies.