In episode No. 15 of Human Capital, we talk with James Lundy, a former attorney at the Securities and Exchange Commission who’s now a partner at Faegre Drinker.
Lundy, based in Chicago, co-leads the firm’s Regulation Best Interest Compliance team as well as internal investigations and also defends complex financial services litigation and handles cybersecurity regulatory investigations.
Listen in as Lundy explains why he believes it’s likely the SEC’s exam division will conduct a sweep of advisors’ use of Paycheck Protection Program loans.
Lundy also provides a status check on firms’ compliance with the SEC’s Regulation Best Interest and Form CRS, the next step that the Financial Industry Regulatory Authority must take before launching into Reg BI exams, and the SEC’s sharpened focus on advisors’ cybersecurity practices.
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- NASAA’s Gerold Outlines COVID-19 Frauds, Enforcement Measures
- ERISA Expert Fred Reish on Market Volatility, Stimulus Plan
- Ed Slott Tackles Thorniest Secure Act Provisions
- Brian Hamburger Details Critical Aspects of SEC’s 2020 Exam Priorities
- Investor Advocate Barbara Roper Doesn’t Mince Words on SEC Rules