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.