Dec 5, 2019
In this episode of ThinkAdvisor’s Human Capital podcast, we
caught up with Barbara Roper, director of investor protection for
the Consumer Federation of America, as she was preparing for CFA’s
annual financial services conference, being held in Washington on
Dec. 5th and 6th.
Roper, who’s also a member of the...
Nov 14, 2019
In this episode of ThinkAdvisor’s Human Capital podcast, we talk with Todd Cipperman, founding principal of Cipperman Compliance Services, a go-to expert on all things compliance-related for advisors, broker-dealers and mutual funds. Cipperman details how a new rule proposal by the SEC to modernize its sorely...
Oct 30, 2019
Episode #3 of ThinkAdvisor’s Human Capital podcast catches up
with Norm Champ, partner in the Investment Funds Group at Kirkland
& Ellis. Champ discusses the pending economic crisis, as well
warnings on sky high personal debt levels, the financial literacy
crisis, student debt and how policy makers can help...
Oct 16, 2019
Episode #2 of Human Capital’s podcast catches up with Ric Edelman, founder of Edelman Financial Engines. Edelman discusses how he’s redoubling his efforts to make sure lawmakers shore up Social Security, as well as what steps the Securities and Exchange Commission must take to tame the Wild West...
Oct 2, 2019
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...