Author Bo Howell
Joot, Cofounder, CEO
Bo has over 10 years of experience as a securities lawyer and chief compliance officer. He has served in roles with SEC-registered investment advisers, registered and unregistered investment companies, and broker-dealers. Bo has worked at the SEC’s Division of Investment Management, a Fortune 500 financial services company, and an innovative technology-driven law firm. He is also the owner of FinTech Law, a technology-driven law firm focused on financial services and technology companies. Bo is a U.S. Navy veteran.
SEC: Regulation Best Interest
When I think about reading that many pages of bureaucracy inspired legalese, I think of my former colleague Rich Rudman saying that when it comes to legal writing (actually, I think he applied it to almost everything): Be Bold, Be Brief, Be God. With that in mind, we’re going to summarize the whole thing in one article that is less than 2,000 words. Here we go!
Joot discusses FinTech with the Institute for Innovation Development: Part 2
Today, we discuss why more advisers don’t partner with FinTech, the current shortcomings of existing solutions, and some advice on how should approach vendor management.
Joot Discusses FinTech with the Institute of Innovation Development: Part 1
Offline, Bill Hortz of the IID asked us a few questions about how we help our clients utilize technology and trends that we are seeing in the RIA space; we even talked about specific partnerships that we’ve had with our clients.