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.
Corporate Governance Update: How Delaware Law Interacts with Federal Securities Law
For many asset managers and investment companies, the topic of compliance tends to focus on federal securities, particularly Rule 206(4)-7 under the Investment Advisers Act of 1940 (the "Advisers Act) and Rule 38a-1 under the Investment Company Act of 1940 (the "Company Act").
The BIG Reveal: Welcome to the Future of Compliance
For years now, there's been increasing development in fintech, but it's focused mostly on investing, trading, and business development applications.
CCO Tech Announces First Ever Compliance Automation Solution for Registered Investment Advisers
CCO Tech today announces the release of its SEC Filing Manager, the first module of an integrated web-based compliance system for small- and mid-sized registered investment advisers (RIAs).
Where Is the SEC's MAGIC?
In March 2018, Investment Management Director Dalia Blass noted the SEC's development of a tool called Monitoring and Analytics GUI for Investment Companies (MAGIC) in her keynote address to the Investment Company Institute's 2018 Mutual Funds and Investment Management Conference.
The Liquidity Rule Finally Takes Shape!
In May, we discussed eight things that you needed to know about the liquidity rule. Here's an update to that post.