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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 ThinkAdvisor.com, this bi-weekly podcast complements the weekly Human Capital briefing. 
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  2. Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans

Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans

May 15, 2020

In episode No. 15 of Human Capital, we talk with James Lundy, a former attorney at the Securities and Exchange Commission who’s now a partner at Faegre Drinker. Listen is as Lundy explains why he believes it’s likely the SEC’s exam division will conduct a sweep of advisors’ use of Paycheck Protection Program loans. Lundy also provides a status check on firms’ compliance with the SEC’s Regulation Best Interest and Form CR.