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Human Capital: ACA’s Di Florio on How Tech Is Crucial Tool in Regulators’ Arsenal

Human Capital with Melanie Waddell

Release Date: 01/24/2020

Human Capital: Phyllis Borzi Concerned About Fiduciary Rule, Reg BI Alignment show art Human Capital: Phyllis Borzi Concerned About Fiduciary Rule, Reg BI Alignment

Human Capital with Melanie Waddell

In episode No. 18 of ThinkAdvisor's Human Capital podcast, we talk with the former assistant secretary of the Labor Department’s EBSA during the Obama administration. Listen in as Borzi also talks about the current political turmoil surrounding SEC Chairman Jay Clayton, as well as the trouble spots the SEC faces in enforcing Reg BI, which takes effect on June 30. A vocal critic of Reg BI, Borzi says implementation of the rule will be critical as it “leaves a lot of ambiguity.”

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Human Capital: John Reed Stark Identifies Lurking Cybersecurity Risks show art Human Capital: John Reed Stark Identifies Lurking Cybersecurity Risks

Human Capital with Melanie Waddell

In episode No. 17 of Human Capital, we talk with cybersecurity expert John Reed Stark, president of John Reed Consulting, who founded the SEC’s Office of Internet Enforcement.  Stark talks about why the cybersecurity challenges are exacerbated by the COVID-19 work-from-home environment, with ransomware attacks, phishing and business email schemes also on the rise. He also warns, “There are legions of soldiers waking up every morning with the sole desire to attack U.S. systems and exfiltrate important data.”

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Human Capital: IAA’s Neil Simon on Top Issues Percolating at SEC, the Hill show art Human Capital: IAA’s Neil Simon on Top Issues Percolating at SEC, the Hill

Human Capital with Melanie Waddell

In episode No. 16 of Human Capital, we talk with Neil Simon, VP of government relations for the Investment Adviser Association, about IAA’s efforts to restore, and expand, the deductibility of fees on professional investment and financial planning advice that was repealed with the sweeping tax overhaul enacted in 2017. Simon also weighs in on the pending lawsuit against the SEC’s Regulation Best Interest as well as when the SEC’s open democratic seat may likely be filled.  

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Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans show art Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans

Human Capital with Melanie Waddell

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. Listen is 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 CR.

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Human Capital: Andy Friedman on Next Stimulus Bill’s Potential Tax Provisions show art Human Capital: Andy Friedman on Next Stimulus Bill’s Potential Tax Provisions

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Andy Friedman, founder and principal of The Washington Update. Listen in as Friedman talks about the timing of the next stimulus bill, which is being dubbed CARES 2, and details which tax provisions could likely make it into the package. Friedman also talks about what’s “heating up” in U.S.-China relations and where he sees President Trump’s battle with governors in reopening the economy ultimately ending up.

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Human Capital: NASAA’s Gerold Outlines COVID-19 Frauds, Enforcement Measures show art Human Capital: NASAA’s Gerold Outlines COVID-19 Frauds, Enforcement Measures

Human Capital with Melanie Waddell

In episode No. 13 of Human Capital, we talk with Christopher Gerold, president of NASAA and chief of the New Jersey Bureau of Securities, about the relief put in place by state securities regulators because of the coronavirus pandemic.

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Human Capital: ERISA Expert Fred Reish on Market Volatility, Stimulus Plan show art Human Capital: ERISA Expert Fred Reish on Market Volatility, Stimulus Plan

Human Capital with Melanie Waddell

In episode No. 12 of ThinkAdvisor’s Human Capital podcast, we talk with popular ERISA attorney Fred Reish of Faegre Drinker Biddle & Reath about the legal requirements and best practices that plan fiduciaries and advisors should be adhering to during the market volatility. Reish also details provisions on enhanced participant loans, special Coronavirus distributions and RMDs under the recently passed stimulus bill, Coronavirus Aid, Relief and Economic Security (CARES) Act.

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Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief in Light of Coronavirus show art Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief in Light of Coronavirus

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Amy Lynch, president and founder of FrontLine Compliance, on the regulatory relief put in place by the SEC as well as FINRA the coronavirus outbreak upends the markets.

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ARA's Wielobob Details DOL/IRS To-Do List Post Secure Act show art ARA's Wielobob Details DOL/IRS To-Do List Post Secure Act

Human Capital with Melanie Waddell

In this episode of Human Capital, we talk with Allison Wielobob, general counsel at the American Retirement Association, who’s also a former Labor Department attorney and legislation counsel for the Joint Committee on Taxation. Listen in as Wielobob talks about why the idea of a Financial Transaction Tax is rearing its head again, as well as what ARA would like to see included in House Ways and Means Committee Chairman Richard Neal’s upcoming “Secure Act 2.0” legislative package.  

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Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule Race show art Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule Race

Human Capital with Melanie Waddell

In episode #8 of our Human Capital podcast, George Michael Gerstein tell us the latest on where the states’ fiduciary rules stand.

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Di Florio, a former director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations details how regulators’ increasing use of regtech is transforming their supervisory relationships and exam experience with broker-dealers and advisors.

Listen in as di Florio also talks about how regulators are deploying technology and data analytics to identify needles in the regulatory haystack and also how the transition from the London Interbank Offered Rate, or Libor, poses a significant compliance risk.