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NYAIR Episode 85 –Avoiding Regulatory Trouble

David McClean, principal at DMA Consulting Group, and Dustin Littrell, an attorney in Alston & Bird’s Financial Services & Products Group, discuss some of the nuts and bolts of a good compliance program and provide tips on how managers can protect their firms—and themselves, with Robert Akeson, managing director of investment banking at Riverside Management Group. Additional topics discussed include proposed regulations that, if enacted, may be quite impactful, along with their views concerning the ambitious regulatory agenda of the SEC under its current leadership.