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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. 

Mar 19, 2021

In this episode of Human Capital we talk with Susan Schroeder, former chief of the Financial Industry Regulatory Authority’s enforcement division, who’s now a partner at WilmerHale and vice chair of its Securities & Financial Services Department. Schroeder sees enforcement actions related to Regulation Best Interest...