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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. 
  1. All Episodes
  2. 2020
  3. 01

Human Capital: ACA’s Di Florio on How Tech Is Crucial Tool in Regulators’ Arsenal

Jan 24, 2020

Di Florio, a former director of the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations details how regulators’ increasing use of regtech is transforming their supervisory relationships and exam experience with broker-dealers and advisors.

Listen in as di Florio also talks about...

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Brian Hamburger Details Most Critical Aspects of SEC's 2020 Exam Priorities

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.

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