Podcasts by Human Capital with Melanie Waddell

Human Capital: Susan Schroeder Says Reg BI Enforcement Actions Loom from 2021-03-19T18:30:10

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 a...

Human Capital: Skip Schweiss on Reshaping FPA's Value Proposition from 2021-02-16T21:10:16

In this episode of Human Capital, we catch up with Skip Schweiss, the 2021 president of the Financial Planning Association.

Schweiss, f...

Human Capital: Ed Slott on Why Taxes Are Heading ‘Through the Roof’ from 2020-12-04T18:08:03

In this episode of Human Capital, we talk with IRA and tax specialist Ed Slott of Ed Slott & Co. about his upcoming book, “Listen

Human Capital: IAA's Karen Bar on SEC Rules Nearing the Finish Line from 2020-11-13T21:52:02

In this episode of Human Capital, we talk with Karen Barr, president and CEO of the Investment Adviser Association in Washington, about the growing ranks of RIAs as well as important rule update...

Human Capital — ‘Secure 2.0’: Why Now? With Ex-PBGC Director Millard from 2020-10-30T15:55:04

In this episode of Human Capital, we talk with Charles Millard, the former director of the Pension Benefit Guaranty Corp., who’s now a senior advisor to asset managemen...

Human Capital: Michael Kitces on Fiduciary Fight and Why He’s ‘Extremely Nervous’ About Schwab Deal from 2020-10-16T15:50:24

In this episode of Human Capital, we talk with popular blogger and financial planner Michael Kitces about XY Planning Network’s recent decision to not pursue a Supreme Court challenge to the app...

Human Capital: Ron Rhoades Unpacks Reg BI Unknowns from 2020-10-05T13:14:38

In this episode of Human Capital, we talk with Ron Rhoades, director of the Personal Financial Planning Program and assistant professor of finance in the Gordon Ford Co...

Human Capital: Ed Slott on Why Retirement Plans Are Sitting Ducks from 2020-09-18T11:58:54

In this episode, we check in with IRA and tax specialist Ed Slott of Ed Slott & Co., on what the recent debt and deficit numbers reported by the Congressional Budget Of...

Human Capital: Attorney Morgan Dissects SEC Accredited Investor Rule Changes from 2020-09-04T20:18:45

In this episode of Human Capital, we talk with Nick Morgan, a partner at the global defense firm Paul Hastings in Los Angeles, about the Securities and Exchange Commiss...

Human Capital: SEI's Anderson Sizes Up Likely Changes to SEC's Form CRS from 2020-08-19T12:44:55

In this episode of Human Capital, we talk with John Anderson, managing director and head of practice management solutions for Independent Advisor Solutions at SEI Inves...

Human Capital: Brad Campbell Details Oddities in DOL Fiduciary Rule from 2020-08-07T19:44:09

In this episode of Human Capital, we talk with Brad Campbell, former assistant secretary of the Labor Department’s Employee Benefits Security Administration, who’s now ...

Human Capital: Hearsay's New Compliance Strategist Talks Social Media Maneuvering from 2020-07-24T18:30:33

In this episode of Human Capital, we talk with Iain Duke-Richardet, compliance strategy principal at Hearsay Systems.

Duke-Richardet, an original member of the Financial Industry Regulato...

Human Capital: Drew Bowden Drills Down on ‘Lack of Consistency’ in Regs from 2020-07-10T15:57:31

In this episode of Human Capital, we talk with Drew Bowden, general counsel for Jackson National Life Insurance Co., who recently became board chair for the Insured Retirement Institute.
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Human Capital: Phyllis Borzi Concerned About Fiduciary Rule, Reg BI Alignment from 2020-06-26T20:59:54