How does the current Regulatory environment impact me

There have been many changes in the regulatory landscape over the last few years, some related to Covid and some not. My goal is to share some background from the perspective of a former regulator as I spent 16+ years at the Vermont Department of Financial Regulation in the Securities Division, the last 6 as the Deputy Commissioner. I will also discuss what this means for us as a consumer of financial services and products as well.

Currently, as a consultant for an international compliance consulting firm handling state and SEC registered investment advisor firms as well as being a registered Private Investigator in Vermont along with being an Adjunct Professor at Champlain College, I will share years of thoughts and insights on a number of issues/cases and situations that will be interesting and informative.