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Human Capital: Brian Hamburger Details Critical Aspects of SEC's 2020 Exam Priorities

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(This episode of Human Capital is brought to you by American Portfolios.)

In this episode of ThinkAdvisor’s Human Capital podcast, we talk with Brian Hamburger founder, president and CEO of the regulatory consulting firm MarketCounsel.

Fresh off the annual MarketCounsel Summit, which was held in Miami in December, Hamburger details the most critical aspects of the SEC’s just-released exam priorities letter, and also explains how enforcement actions brought by the agency in the coming year will help RIAs build their compliance to-do list.

Hamburger also details why MarketCounsel has its advisor-clients in a “hold pattern” regarding Form CRS, the customer relationship summary that’s part of the SEC’s advice-standards package.

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