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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. 

Jan 10, 2020

In this episode of ThinkAdvisor’s Human Capital podcast, Brian Hamburger, CEO of MarketCounsel, digs into SEC's exam letter and other enforcement issues.