Preview Mode Links will not work in preview mode
The Human Capital podcast brings you the latest on the people who are helping to shape the financial services regulatory landscape, be they lawmakers, attorneys, industry officials or lobbyists. We'll get inside views from the movers and shakers on how various policy matters are impacting the advisory industry. Hosted by Melanie Waddell, Washington Bureau Chief for Investment Advisor Magazine and ThinkAdvisor.com, this bi-weekly podcast complements the weekly Human Capital briefing. 

Sep 18, 2020

In this episode, we check in with IRA and tax specialist Ed Slott of Ed Slott & Co., on what the recent debt and deficit numbers reported by the Congressional Budget Office mean for retirement plan participants.

The CBO numbers, according to Slott, show that the three-legged retirement planning stool is shaky, and for...


Sep 4, 2020

In this episode of Human Capital, we talk with Nick Morgan, a partner at the global defense firm Paul Hastings in Los Angeles, about the Securities and Exchange Commission’s recent changes to the accredited investor definition.

Morgan, former Senior Trial Counsel in the SEC’s Enforcement Division, explains...


Aug 19, 2020

In this episode of Human Capital, we talk with John Anderson, managing director and head of practice management solutions for Independent Advisor Solutions at SEI Investments, about the potential changes coming to the Securities and Exchange Commission’s Form CRS, the customer relationship summary, which was adopted...


Aug 7, 2020

In this episode of Human Capital, we talk with Brad Campbell, former assistant secretary of the Labor Department’s Employee Benefits Security Administration, who’s now a partner at FaegreDrinker in Washington.

Campbell weighs in on Labor’s controversial fiduciary prohibited transaction exemption to align with the...


Jul 24, 2020

In this episode of Human Capital, we talk with Iain Duke-Richardet, compliance strategy principal at Hearsay Systems.

Duke-Richardet, an original member of the Financial Industry Regulatory Authority’s Social Media Task Force, joined Hearsay Systems in late June from Accenture. He has also served in senior compliance...