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Episode 3: Welcoming the Podfather and New SEC Director of Enforcement
Asset Management Corner
26 minutes 43 seconds
2 months ago
Episode 3: Welcoming the Podfather and New SEC Director of Enforcement
In this episode of Asset Management Corner, Andrew Dean and Chris Mulligan are joined by Patrick Hayes, the podfather of securities compliance podcasts. They discuss Patrick’s NSCP podcast; the SEC’s new Director of Enforcement and coming changes; a very active Division of Examinations; how SEC enforcement actions impact industry compliance and SEC examinations; and advisers’ focus on the retailization of private funds and artificial intelligence.
Featured guest:Patrick Hayes, Chair of the NSCP Board of Directors and Partner at Calfee Halter
Andrew and Chris offer timely, practical discussion on these developments, particularly for compliance officers, private funds, retail advisers, registered investment companies, financial professionals, investors, and anyone interested in financial regulation.
Future episodes will release monthly, or more frequently as hot developments warrant. Visit the Asset Management Corner homepage for an episode catalog.
