Ascendant Compliance consultants Eugenie Warner and Jackie Hallihan give us insight on recent speeches from SEC Chair Mary Jo White. Topics covered include; new initiatives for improved methods of regulating the asset management industry, recent updates on new SEC mandates, tips on risk transition plans, and more.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Compliance Considerations for Dual Registrants
- Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
- The Compliance Professionals Guide to Effective Trade Desk Monitoring
Recent ComplianceCast™ Minutes