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 compliance “coming soon” — likely this year.
Listen is as Schroeder also weighs in on what Gary Gensler’s likely arrival as SEC chairman means for Reg BI.
Schroeder also talks about the likelihood of enforcement actions related to Form CRS and more.