On this episode of the Securities Compliance podcast, we’re going to discuss Stephanie Avakian’s departure from the SEC, updates on the proposed marketing and advertising rules, very interesting investment advisor metrics, and some new changes coming to New York state IAR rules.

For the interview portion, I chat with Michelle Canella and Hope Brown. The three of us dive into diversity, equity, and inclusion in the financial services industry and discuss the importance of mentors and sponsors.

Listen in for a better understanding about what diversity, equity, and inclusion look like in action in the financial services industry.

Headlines

Interview

History Has Your Back

Quotes: 

“Well, first and foremost, I really believe that in order to effectuate change, you should change yourself first.”

““I think that mentors and sponsors are both critical to the success of any professional, and in our particular case, compliance professionals. I think, in particular, for women and for people of color, who typically have fewer interactions with leaders within financial services organizations.”

Resources:

Compliance in Context