Author Charles Black
Joot, Vice President, Chief Services Officer
Charles has over 20 years of experience in the financial services industry. He has served as chief compliance officer for registered funds and for SEC-registered investment advisory firms. Charles has also held roles with fund administrators including accounting, legal administration, and compliance. He has worked at Fortune 100 and 500 financial services companies, small firms, and consulting investment advisers of various sizes.
Reality Check: Observations from Exams in the RIC Initiatives
Assess your policies and procedures and improve your RIA and fund compliance programs based on recent SEC observations from exams in the RIC initiatives.
Reality Check: Best Execution and Selection of Mutual Fund Share Classes for Clients
At Joot, we’ve witnessed first-hand the selection of mutual fund share classes come up as a topic in routine SEC exams.
Social Media Advertising and the New SEC Marketing Rule
Wondering how to align your social media advertising strategy with the new SEC marketing rule? Get our advice here.
Real World Insight from Current SEC and FINRA Exams
A big part of what we do here at Joot is help our clients with their regulatory examinations.
Reality Check: Hypothetical Performance and the New SEC Marketing Rule
Need help understanding what types of hypothetical performance are permitted by the new SEC marketing rule? Read on.
SEC Provides Conditional Relief to Investment Advisers and Investment Companies Impacted by Coronavirus, but Should You Use It?
The SEC is recognizing that limits on travel, reduced personnel, and other business disruptions as a result of the coronavirus may cause delays in meeting regulatory filing deadlines and other regulatory obligations.