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Cropped Alec Cheung Oct 2020 Square Cropped 3 E 1618618475150

Author Alec Cheung

Joot, Cofounder

Alec is a B2B marketing veteran with 20 years of experience in product marketing, product management, digital marketing, and SaaS. He has led marketing teams for a PE-backed fintech company with a successful exit as well as the world’s largest contact center outsourcer. He also serves on the Advisory Council for the Digital Marketing Program at the George Washington University School of Business.

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Reality Check: Form CRS Failures and SEC Enforcement Actions
08/03/2021

Reality Check: Form CRS Failures and SEC Enforcement Actions

Learn about the SEC’s recent enforcement actions in response to Form CRS failures and get help meeting regulatory obligations to ensure RIA compliance.

Alec Cheung
Alec Cheung
Cofounder, Joot
Crunch Time: 10 Tips to Completing Your Form CRS
06/11/2020

Crunch Time: 10 Tips to Completing Your Form CRS

With every new regulatory policy or form, the first time implementing it is always challenging. There are no models to follow or examples to guide you. Fortunately for our readers, we’ve cleared away some of the high brush to give you a clearer path.

Alec Cheung
Alec Cheung
Cofounder, Joot
How Technology Helps CCOs Manage RIA Compliance
04/13/2021

How Technology Helps CCOs Manage RIA Compliance

Let’s take a closer look at how technology can automate and simplify your compliance management process.

Alec Cheung
Alec Cheung
Cofounder, Joot
CCO Tech Announces Release of Document Manager
03/19/2019

CCO Tech Announces Release of Document Manager

CCO Tech announces the release of its Document Manager, the third module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).

Alec Cheung
Alec Cheung
Cofounder, Joot
SEC Examination Priorities for 2021
03/05/2021

SEC Examination Priorities for 2021

On March 3rd, the SEC released its examination priorities for 2021. Here’s what they called out.

Alec Cheung
Alec Cheung
Cofounder, Joot
CCO Tech Launches Integrated Compliance Calendar
01/16/2019

CCO Tech Launches Integrated Compliance Calendar

CCO Tech announces the release of its Compliance Calendar, the second module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).

Alec Cheung
Alec Cheung
Cofounder, Joot