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InSecurities Podcast - Compliance and Enforcement Considerations for Private Funds & RIAs

Firm News

On the latest episode of the inSecurities podcast, Chris and Kurt are joined by Quinn Emanuel Partner Dabney O’Riordan, who is a former head of the SEC Enforcement Division’s Asset Management Unit (AMU). Together, they discuss the SEC’s enforcement focus on private funds, registered investment advisers, and broker-dealers. Dabney 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.  

Listen to this episode: