May 15, 2020

Jim Lundy Talks SEC Enforcement and Compliance on ThinkAdvisor’s Human Capital Podcast

Partner Jim Lundy was a featured guest on the May 15 edition of ThinkAdvisor’s Human Capital podcast. The Human Capital podcast brings listeners the latest on the lawmakers, attorneys, industry officials and lobbyists who are helping to shape the financial services regulatory landscape.

In the episode, Lundy tells the podcast that he believes it’s likely that SEC Enforcement will conduct a sweep of companies’ use of Paycheck Protection Program (PPP) loans and that the SEC Examination program will be examining registrants regarding PPP compliance.

With the June 30 implementation date for the SEC’s Regulation Best Interest (Reg BI) looming, Lundy also shared his thoughts on the status of industry efforts regarding compliance with Reg BI and Form CRS, and FINRA’s potential plans for coordination with the SEC and launching its Reg BI examinations for member firms.

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