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, this bi-weekly podcast complements the weekly Human Capital briefing. 

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...