2014 Compliance Portfolio Management 
Brown Advisory
JUNE 14, 2017
2 The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.
Brown Advisory
JUNE 14, 2017
The SEC’s Enforcement Division introduced the Municipal Continuing Disclosure Cooperative Initiative in early 2014 to encourage self-reporting of possible securities law violations, especially in situations when entities misrepresented their compliance with continuing disclosure obligations. The results were discouraging.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
The Big Picture
DECEMBER 6, 2022
RITHOLTZ: So you joined Global X in 2014. I joined Global X in 2014, and we have, if I remember correctly, approximately $1.5 But when you factor in, you know, legal costs, compliance, portfolio management, trading, there is a lot that goes into launching an ETF. What led you to them from Jefferies? BERRUGA: Yeah.
The Big Picture
JANUARY 21, 2025
It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. And after I got my last urine bonus in early 2014, I walked in and handed, handed my notice. 01:04:39 [Speaker Changed] I think it was the Journal of Portfolio Management.
The Big Picture
JUNE 3, 2024
And that was his boss, Jeffrey Gundlock, founder of Double Line Capital, back in July, 2014. The very first Masters in Business that was broadcast just about 10 years ago, July, 2014, episode number one, Jeffrey Gundlock, DoubleLine Capital. So he just flew in late yesterday. The calendar was a little tight. And effectively I did.
Expert insights. Personalized for you.
52 
Let's personalize your content