Human Capital: Ex-SEC Lawyer Lundy Warns of Sweep of Advisor PPP Loans - a podcast by ALM
from 2020-05-15T19:26:36
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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.
Further episodes of Human Capital with Melanie Waddell
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