In this episode of Mutual Fund Minute, Leonard Ng, head of the firm’s UK/EU Financial Services Regulatory group, joins host Jay Baris to discuss developments in asset management in the UK and EU. Jay and Leonard discuss how the UK’s Financial Conduct Authority hopes to make the UK more competitive with the EU in the post-Brexit environment.
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In this episode of Mutual Fund Minute, Leonard Ng, head of the firm’s UK/EU Financial Services Regulatory group, joins host Jay Baris to discuss developments in asset management in the UK and EU. Jay and Leonard discuss how the UK’s Financial Conduct Authority hopes to make the UK more competitive with the EU in the post-Brexit environment.
Why Me? How the SEC Decides Which Investment Adviser to Examine
Mutual Fund Minute
8 minutes
1 year ago
Why Me? How the SEC Decides Which Investment Adviser to Examine
Why me? And why now? That is usually the first thing an investment adviser asks when the Securities and Exchange Commission’s Division of Examinations comes knocking on the door. Understanding why the SEC chooses advisers for examinations at any given time could help the adviser better prepare for the inevitable. In this episode of the Mutual Fund Minute, host and Sidley partner Jay Baris speaks with Ranah Esmaili, Sidley partner and a member of the firm’s global Securities Enforcement and R...
Mutual Fund Minute
In this episode of Mutual Fund Minute, Leonard Ng, head of the firm’s UK/EU Financial Services Regulatory group, joins host Jay Baris to discuss developments in asset management in the UK and EU. Jay and Leonard discuss how the UK’s Financial Conduct Authority hopes to make the UK more competitive with the EU in the post-Brexit environment.
