Human Capital: SEI's Anderson Sizes Up Likely Changes to SEC's Form CRS
By Melanie Waddell Melanie WaddellIn this episode, John Anderson talks about why Reg BI is just a "small step" toward a "true fiduciary rule."
July 10, 2020
Human Capital: Drew Bowden Drills Down on 'Lack of Consistency' in RegsIn this episode, the former SEC exam chief now with Jackson National talks about Reg BI and his concerns with the patchwork of state rules.
June 26, 2020
Human Capital: Phyllis Borzi Concerned About Fiduciary Rule, Reg BI AlignmentIn this episode, we talk with the former assistant secretary of the Labor Department's EBSA during the Obama administration.
June 12, 2020
Human Capital: John Reed Stark Identifies Lurking Cybersecurity RisksIn this episode, Stark warns, "There are legions of soldiers waking up every morning with the sole desire to attack U.S. systems."
May 29, 2020
Human Capital: IAA's Neil Simon on Top Issues Percolating at SEC, the HillSimon also talks about IAA's push to restore and expand the deductibility of fees on financial planning advice.
May 15, 2020
Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP LoansLundy, based in Chicago, co-leads Faegre Drinker's Reg BI Compliance team as well as internal investigations.
May 01, 2020
Human Capital: Andy Friedman on Next Stimulus Bill's Potential Tax ProvisionsFriedman also talks about the timing of "CARES 2," as well as what's "heating up" in U.S.-China relations.
April 17, 2020
Human Capital: NASAA's Gerold Outlines COVID-19 Frauds, Enforcement MeasuresIn episode No. 13 of Human Capital, we talk with Christopher Gerold, president of NASAA, about the coronavirus relief put in place by state regulators.