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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. 

Dec 5, 2019

In this episode of ThinkAdvisor’s Human Capital podcast, we caught up with Barbara Roper, director of investor protection for the Consumer Federation of America, as she was preparing for CFA’s annual financial services conference, being held in Washington on Dec. 5th and 6th.

Roper, who’s also a member of the Securities and Exchange Commission’s Investor Advisory Committee, is no shrinking violet when it comes to criticizing SEC rulemakings and their potentially harmful effects on investors.

Listen in as Roper details her concerns about the SEC’s planned
expansion of the accredited investor definition, Regulation Best
Interest’s potential to leave investors worse off than they were
before, as well as what questions she’ll ask the SEC’s two democratic commissioners.

This is Human Capital’s last episode for 2019. Thanks for joining us! See you next year.